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Seann J. Schaller
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45242
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CRD#: 4506093
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Professional summary
Seann Jeremy Schaller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA ADVISORS LLC located in Cincinnati, Ohio.
Seann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Seann has worked at 4 firms and has passed the Series 66, SIE and Series 7 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)DBA: FREEMAN HEYNE SCHALLER, INVESTMENT RELATED, SAME AS OFFICE ADDRESS, HEALTH BENEFITS ADVISOR, START MARCH 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, PRESIDENT/OWNER - INSURANCE AGENT. 2)FIXED INSURANCE WITH VARIOUS COMPANIES THROUGH FREEMAN HEYNE LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START MARCH 2014, 30 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, LONG-TERM CARE AND ANNUITIES. 3) LIFELOCK, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, STARTED 11/2016, SALES, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: OFFERING DISCOUNTED SUBSCRIPTIONS TO LIFELOCK.
CRS (Client Relationship Summary) - RIA
Click below to view Seann Jeremy Schaller'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242RIA
CRD#: 105644
CINCINNATI, OH
Current
February 12, 2014 - Present
CETERA ADVISORS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242BD
CRD#: 10299
Cincinnati, OH
Past
February 12, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 8, 2007 - February 11, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CINCINNATI, OH
Past
January 3, 2005 - February 11, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CINCINNATI, OH
Past
October 2, 2002 - October 7, 2004
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
CINCINNATI, OH
Past
May 3, 2002 - December 31, 2004
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
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
Ohio(2/12/2014)
IAR
Ohio(3/21/2024)
Exams
State Security Law Exam
General 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cincinnati, OH 45242TRUST BUT VERIFY
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