DP
Dennis E. Prociuk
CETERA INVESTMENT ADVISERS LLC
ADDISON, IL 60101
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CRD#: 4514096
DP
Professional summary
Dennis E Prociuk is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Addison, Illinois and CETERA WEALTH SERVICES, LLC located in Addison, Illinois.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Dennis has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 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 ENTITY: Edwin Financial Group; Yes; 45 NORTH CHURCH ST; ADDISON; IL; 60101; DBA; owner; 6/21/2008; 160; 160; DBA for insurance and financial strategies 2. NAME OF ENTITY:EDWIN FINANCIAL GROUP/AMPOL INSURANCE; Yes; 1 TIFFANY POINTE SUITE 100; BLOOMINGDALE; IL; 60108; HEALTH INSURANCE; SALES BROKER; 7/15/2013; 20; 1; FIXED INSURANCE SALES 3. NAME OF OTHER BUSINESS: WALDEN LLC INVESTMENT RELATED: NO ; ADDRESS: 45 N CHURCH ST ADDISON, IL 60101 ; NATURE OF BUSINESS: REAL ESTATE PARTNERSHIP ; START DATE: 2018 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT /OWNER ; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE BUILDING PARTNERSHIP; 4. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 45 NORTH CHURCH ST; ADDISON; IL; 60101; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/3/2007; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 5.NAME OF OTHER BUSINESS: MICROMATIC SPRING & STAMPING CO., INC.; INVESTMENT RELATED: NO ; ADDRESS: 45 N CHURCH ST ADDISON, IL 60101 ; NATURE OF BUSINESS: MANUFACTURING BUSINESS ; START DATE: 1973 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT /OWNER ; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: MANUFACTURING SPRINGS, STAMPINGS, WIREFORMS;
CRS (Client Relationship Summary) - RIA
Click below to view Dennis E Prociuk'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 45 North Church St, Addison, IL 60101RIA
CRD#: 105644
ADDISON, IL
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 45 North Church St, Addison, IL 60101BD
CRD#: 13572
Addison, IL
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 18, 2009 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ADDISON, IL
Past
May 1, 2007 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ADDISON, IL
Past
February 24, 2004 - April 25, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCHAUMBURG, 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
Illinois(6/9/2021)
IAR
Illinois(6/29/2023)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Michigan(6/9/2021)
RR
Wisconsin(6/9/2021)
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
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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.
