KS
Katherine H. Schneider
CETERA INVESTMENT ADVISERS LLC
MORRIS PLAINS, NJ
Some features on this profile are disabled
CRD#: 4511702
KS
Professional summary
Katherine Helen Schneider, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Morris Plains, New Jersey and CETERA WEALTH SERVICES, LLC located in Morris Plains, New Jersey.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Katherine has worked at 5 firms and has passed the Series 63, 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) KATHERINE SCHNEIDER LLC DBA KATHERINE SCHNEIDER CPA POSITION: owner/member NATURE: Katherine Schneider LLC is my tax practice. I prepare tax returns, tax projections and provide tax planning for up to 100 clients.I occasionally also use a DBA of Katherine Schneider CPA INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2021 ADDRESS: 240 Cedar Knolls Rd., Suite 305, Cedar Knolls NJ 07927, United States DESCRIPTION: The duties and responsibilities include interacting with clients, the IRS and state tax departments regarding a clients tax situation. I have up to 100 clients, most are individual tax returns, but I have a small amount of trusts and businesses.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Helen Schneider'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
MORRIS PLAINS, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 540 Speedwell Ave Suite B-1, Morris Plains, NJ 07950BD
CRD#: 13572
Morris Plains, NJ
Past
January 29, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MORRIS PLAINS, NJ
Past
April 12, 2012 - September 2, 2014
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MORRIS PLAINS, NJ
Past
April 12, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Morris Plains, NJ
Past
July 28, 2010 - April 19, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WHITEHOUSE STATION, NJ
Past
April 18, 2002 - April 19, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WHITEHOUSE STATION, 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
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
Exams
State Security Law Exam
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.
