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AP

Alton R. Pardue

CETERA INVESTMENT ADVISERS
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 4586034
AP

Professional summary

Alton R Pardue, who also goes by Alton Ray Pardue Jr, Alton Ray Pardue, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA INVESTMENT SERVICES LLC located in Tampa, Florida.

Alton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Alton has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alton Ray Pardue Jr | Alton Ray Pardue

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alton R Pardue's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 15, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 711 E Henderson Avenue, Tampa, FL 33602
RIA
CRD#: 105644
TAMPA, FL
Current

July 18, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 711 E Henderson Avenue, Tampa, FL 33602
BD
CRD#: 15340
Tampa, FL
Past

June 16, 2023 - July 18, 2025

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
WESLEY CHAPEL, FL
Past

October 14, 2021 - March 9, 2022

MORGAN STANLEY

RIA
CRD#: 149777
Tampa, FL
Past

October 14, 2021 - March 9, 2022

MORGAN STANLEY

BD
CRD#: 149777
Tampa, FL
Past

January 5, 2021 - September 27, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
TAMPA, FL
Past

January 4, 2021 - September 27, 2021

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
TAMPA, FL
Past

June 26, 2017 - March 9, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SARASOTA, FL
Past

January 25, 2017 - March 9, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SARASOTA, FL
Past

July 29, 2004 - November 14, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

November 12, 2002 - February 12, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, 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

IAR
Florida
(7/24/2023)
RR
Florida
(7/18/2025)
IAR
Texas
(6/15/2023)
RR
Texas
(7/18/2025)
RR
Vermont
(7/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/27/2017
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/1/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/22/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/28/2017
General Securities Sales Supervisor - Options Module Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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#: 105644Tampa, FL 33602

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