SW
Sheri L. Winter
CETERA INVESTMENT ADVISERS LLC
WALKER, MN 56484
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CRD#: 4528031
SW
Professional summary
Sheri Lynn Winter, who also goes by Sheri Lynn Castle, Sheri Lynn Hill, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walker, Minnesota and CETERA WEALTH SERVICES, LLC located in Walker, Minnesota.
Sheri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sheri has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheri Lynn Castle | Sheri Lynn Hill
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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 4/2023; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: FIRST NATIONAL INVESTMENT SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 09/2007; POSITION/TITLE/RELATIONSHIP: REGISTERED REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: WALKER HOUSING & REDEVELOPMENT AUTHORITY INVESTMENT RELATED: NO ADDRESS: 211 MICHIGAN AVE, WALKER, MN 56484. NATURE OF BUSINESS: HOUSING AUTHORITY START DATE: 01/2014 APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER AND ONE OF 3 SIGNERS ON BANK ACCOUNT 4. NAME OF OTHER BUSINESS: FIRST NATIONAL BANK NORTH; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BANK; POSITION/TITLE/RELATIONSHIP: REGISTERED REP; START DATE: 09/2007; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 12/2017; POSITION/TITLE/RELATIONSHIP: NOTARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Sheri Lynn Winter'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: 600 Minnesota Ave W, Walker, MN 56484Office #2: 1471 County Rd 5, Longville, MN 56655Office #3: 200 State 371 South, Hackensack, MN 56452RIA
CRD#: 105644
WALKER, MN
Current
October 1, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 600 Minnesota Ave W, Walker, MN 56484BD
CRD#: 13572
Walker, MN
Past
January 10, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 12, 2006 - January 17, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WALKER, MN
Past
June 24, 2003 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
WALKER, MN
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
Alabama(9/18/2017)
RR
Alaska(4/28/2020)
RR
Arizona(8/4/2008)
RR
California(10/1/2007)
RR
Colorado(7/12/2017)
RR
Florida(10/1/2007)
RR
Illinois(10/1/2007)
RR
Indiana(1/2/2015)
RR
Iowa(10/1/2007)
RR
Kansas(7/24/2012)
RR
Maryland(4/24/2015)
RR
Minnesota(10/1/2007)
IAR
Minnesota(6/29/2023)
RR
Missouri(1/8/2015)
RR
Montana(9/29/2010)
RR
Nebraska(1/5/2021)
RR
North Dakota(1/4/2011)
RR
Oklahoma(6/21/2013)
RR
Oregon(10/7/2016)
RR
South Dakota(1/6/2020)
RR
Tennessee(8/6/2021)
RR
Texas(1/2/2013)
IAR
Texas(6/29/2023)
RR
Washington(7/20/2016)
RR
Wisconsin(11/9/2011)
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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Walker, MN 56484TRUST BUT VERIFY
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