AP
Ashley E. Pedersen
CETERA INVESTMENT ADVISERS LLC
ROANOKE, TX
Some features on this profile are disabled
CRD#: 4459848
AP
Professional summary
Ashley E Pedersen, AIF®, who also goes by Ashley E Marino, Ashley Elizabeth Marino, Ashley Marino, Asley E Marino, Ashley Elizabeth Marino Pedersen, Ashley Pedersen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roanoke, Texas and CETERA WEALTH SERVICES, LLC located in Roanoke, Texas.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ashley has worked at 13 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley E Marino | Ashley Elizabeth Marino | Ashley Marino | Asley E Marino | Ashley Elizabeth Marino Pedersen | Ashley Pedersen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) WFP TAX PARTNERS LLC POSITION: Director of Client Development NATURE: Tax Consulting, Tax Preparation, retirement planning, cash flow planning INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/30/2021 ADDRESS: 1047 Glen Garden Dr, Roanoke TX 76262, United States DESCRIPTION: New Client ProspectingAdministrative dutiesConfirming appointmentsScheduling AppointmentsWarm Prospect Calls 2) COLOR STREET LLC DBA NAILED IT BY ASHLEY POSITION: Independent Contractor NATURE: Color Street is a manufacturer of beauty products including nail polish, nailcare and lip products. Products are distributed through independent contractors that earn commissions on sales. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 1047 glen garden dr, roanoke TX 76262, United States DESCRIPTION: advertise on business Facebook pagecreate an interactive and fun environment online for potential customersshare pictures of products with customershost online sales parties through my Facebook pagerecruit new sales reps 3) PRIVATE CLIENT GROUP WFP LLC. DBA WEALTH FINANCIAL PARTNERS POSITION: Director of client development NATURE: this entity offers financial planning, retirement planning, risk analysis, tax planning and legacy planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/30/2021 ADDRESS: 1047 Glen Garden Dr, Roanoke TX 76262, United States DESCRIPTION: Assist in financial planning, help maintain existing client relationships, proactively prospect for new clients, administrative task such as appointment confirms, practice management activities to streamline what we offer clients. 4) REAL ESTATE AGENT POSITION: Agent NATURE: I currently hold a Texas Real Estate Agent license and have affiliated with a Real Estate Broker to buy and sell real estate for myself and on behalf of consumers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 15 START DATE: 07/15/2025 ADDRESS: Real Broker, LLC, 2626 Cole Avenue Suite 300, Dallas TX 75204, United States DESCRIPTION: Maintain an active real estate license in the state of Texas Maintain an active status with National Association of Realtors and MLS Market my services to potential buyers and sellers of real estate Represent buyers and sellers in real estate transactions Potentially transact business for myself in the acquisition and disposition of investment real estate properties 5) Regen Bioscience; VP of Regenerative Solutions; Regen Bioscience sells and distributes regenerative therapies to patients and medical facilities directed by Medical Doctors. �As a sales representative, my job is to educate doctors and patients on the uses of regenerative medicine and increase sales of the product lineup. � Regenerative medicines are specialized cells that have the ability to differentiate into various cell types. When administered to damaged tissues, regenerative medicine can help promote healing and regeneration.; NIR; 1; 5; 09/15/2025; 1707 Valley Oak Way Oceanside CA 92056; Support Regen Bioscience sales representatives by attending seminars and helping to educate patients about regenerative medicine. Increase sales of products by targeting medspas, iv clinics, orthopedics, etc to open new wholesale accounts. Organize group events for consumers to try Regen products. Maintain a pipeline of sales opportunities to continually tap into and generate more sales. Act as subject matter expert as new sales reps join the firm's distribution channels.
CRS (Client Relationship Summary) - RIA
Click below to view Ashley E Pedersen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ROANOKE, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Roanoke, TX
Past
March 23, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Roanoke, TX
Past
March 22, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Roanoke, TX
Past
October 25, 2021 - March 22, 2023
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Liberty Corner, NJ
Past
October 4, 2021 - March 22, 2023
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Liberty Corner, NJ
Past
August 21, 2018 - October 1, 2019
KINGSWOOD WEALTH ADVISORS, LLC
RIA
CRD#: 288792
Roanoke, TX
Past
August 3, 2018 - October 1, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
SAN DIEGO, CA
Past
November 2, 2010 - August 22, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
October 18, 2010 - August 22, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
February 5, 2008 - November 4, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
February 22, 2007 - January 22, 2008
DUNHAM
RIA
CRD#: 13162
SAN DIEGO, CA
Past
February 22, 2007 - January 22, 2008
DUNHAM
BD
CRD#: 13162
SAN DIEGO, CA
Past
August 2, 2005 - February 16, 2007
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
SCOTTSDALE, AZ
Past
March 21, 2005 - July 27, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LAS VEGAS, NV
Past
March 21, 2005 - July 27, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 1, 2002 - April 22, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEWPORT BEACH, CA
Past
October 23, 2001 - April 22, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
