Allan J. Chappelle

CETERA INVESTMENT ADVISERS LLC

Hoover, AL 35242

Some features on this profile are disabled

CRD#: 44839

Professional summary

Allan James Chappelle is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hoover, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.

Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Allan has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. NAME OF OTHER BUSINESS: CHAPPELLE PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 02/2011; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OWN THE COMMERCIAL BUILDING AND RENT OUT THE SPACE; 2. NAME OF OTHER BUSINESS: CHAPPELLE CONSULTING GROUP, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: QUALIFIED RETIREMENT CONSULTING AND INVESTMENT ADVISORY SERVICES; START DATE: 04/1985; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: MANAGEMENT AND SALES PRODUCER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan James Chappelle's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 9, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 22 Inverness Center Parkway Suite 157, Hoover, AL 35242

RIA

CRD#: 105644

Hoover, AL

Current

December 9, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 22 Inverness Center Parkway Suite 135, Birmingham, AL 35242

CRD#: 13572

Birmingham, AL

Past

April 19, 2016 - December 10, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

BIRMINGHAM, AL

Past

December 15, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Birmingham, AL

Past

December 15, 2014 - December 10, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Birmingham, AL

Past

September 12, 2014 - November 18, 2014

LPL FINANCIAL LLC

CRD#: 6413

BIRMINGHAM, AL

Past

September 24, 2010 - November 4, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

BIRMINGHAM, AL

Past

September 24, 2010 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

BIRMINGHAM, AL

Past

January 2, 2009 - September 27, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

BIRMINGHAM, AL

Past

January 2, 2009 - September 27, 2010

NRP FINANCIAL, INC.

CRD#: 103717

BIRMINGHAM, AL

Past

January 7, 2004 - December 31, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

BIRMINGHAM, AL

Past

January 2, 2004 - December 31, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

May 6, 1993 - February 16, 1995

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

March 9, 1993 - December 31, 2003

FRANK CHAPPELLE & CO., INC.

CRD#: 327

BIRMINGHAM, AL

Past

June 20, 1973 - February 12, 1993

FRANK CHAPPELLE & CO., INC.

CRD#: 327

BIRMINGHAM, AL

Past

August 12, 1969 - June 20, 1973

FRANK CHAPPELLE & CO, INC.

CRD#: 1000001

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(12/9/2025)

IAR

Alabama
(12/9/2025)

Georgia
(12/9/2025)

Mississippi
(12/9/2025)

Ohio
(12/9/2025)

South Carolina
(12/9/2025)

Texas
(12/9/2025)

IAR

Texas
(12/10/2025)

Washington
(12/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/16/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/6/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 6/20/1973

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Allan J. Chappelle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan James Chappelle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FRANK CHAPPELLE & CO., INC.

FRANK CHAPPELLE & CO., INC.

FRANK CHAPPELLE & CO, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2004

Series 63

Date: 12/27/1999

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/6/1969

Series 24

Date: 1/2/2023

Series 00

Date: 6/20/1973

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors