MS
Mary R. Salas
CETERA INVESTMENT ADVISERS LLC
DENVER, CO 80237
Some features on this profile are disabled
CRD#: 4506575
MS
Professional summary
Mary R Salas, who also goes by Mary J. Raabe, Mary J. Salas, Mary Jane Swiggum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Denver, Colorado.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mary has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary J. Raabe | Mary J. Salas | Mary Jane Swiggum
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) COLORADO AUTHORS' HALL OF FAME POSITION: Director NATURE: CAHOF celebrates the accomplishments of authors residing in, or writing about, Colorado. This is a 501(c)(3) organization on which I serve on the Board of Directors as a volunteer. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/07/2021 ADDRESS: 8122 South Quatar Circle, Aurora CO 80016 DESCRIPTION: All-volunteer charitable organization originally founded in 2014, striving to educate Coloradans and the rest of the country about the stories of the authors who shaped their works using the backdrop of Colorado. The Board carries out the direction of the group, including the creation and execution of many projects, programs, and events planned by the Board 2) HEDWIG I. SWIGGUM DURABLE POA POSITION: co-POA NATURE: My mother's Durable POA was updated last month shortly after having been admitted to a nursing home. I am co-POA with my brother. She has paper stock certificates which need to be submitted to the stock transfer company for conversion to DRS and then transferred to an NFS brokerage account so they can be sold to pay for her nursing home care. The stock transfer company will not sell these shares. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/25/2023 ADDRESS: 8764 E Radcliff Ave, Denver CO 80237 DESCRIPTION: As co-POA, either or both my brother and I can transact any financial matter as agent for my mother, including investments, bank accounts, property upkeep and sale, completing applications for financial assistance, life insurance matters, etc. 3) WEALTHSPRING FINANCIAL PARTNERS LLC POSITION: Referring Advisor NATURE: Provide wealth management, financial and investment advisory services to my former clients of Peak Wealth Strategies who will transition to Wealthspring Financial Partners INVESTMENT RELATED: Yes NUMBER OF HOURS: 176 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2024 ADDRESS: 7900 E. Union Ave, Suite 1100, Denver CO 80237 DESCRIPTION: Financial professional for Peak Wealth Strategies.NORTON TRUST DATED JULY 14, 2023 POSITION: Successor trustee NATURE: Serve as trustee of the Trust in the event of the death or incapacity of the second of two grantors or at such earlier time should a grantor/trustee resign. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 5590 East Yale Ave, Suite 102, Denver CO 80222 DESCRIPTION: Distributions of property, payment of expenses and taxes, coordinate with personal rep, make tax elections, allocations to Trust 4) NORTON TRUST DATED JULY 14, 2023 POSITION: Successor trustee NATURE: Serve as trustee of the Trust in the event of the death or incapacity of the second of two grantors or at such earlier time should a grantor/trustee resign. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 8764 E Radcliff Ave, Denver CO 80237 DESCRIPTION: Distributions of property, payment of expenses and taxes, coordinate with personal rep, make tax elections, allocations to the Survivor's Trust, all in accordance with the terms of the trust.
CRS (Client Relationship Summary) - RIA
Click below to view Mary R Salas'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7900 E. Union Ave. Suite 1100, Denver, CO 80237RIA
CRD#: 105644
DENVER, CO
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7900 E. Union Ave. Suite 1100, Denver, CO 80237BD
CRD#: 13572
DENVER, CO
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DENVER, CO
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DENVER, CO
Past
April 7, 2014 - September 9, 2016
I.M. FINANCIAL, LLC
RIA
CRD#: 135632
DENVER, CO
Past
June 11, 2009 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DENVER, CO
Past
June 11, 2009 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DENVER, CO
Past
February 17, 2004 - May 11, 2009
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ENGLEWOOD, CO
Past
April 14, 2003 - May 11, 2009
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ENGLEWOOD, CO
Past
May 1, 2002 - February 27, 2003
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
DENVER, CO
Past
March 11, 2002 - February 27, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Colorado(9/5/2025)
IAR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Nevada(9/5/2025)
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
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)
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.
