JD
Jonathan R. Dierlam
CETERA INVESTMENT ADVISERS LLC
EVANSVILLE, IN 47715
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CRD#: 4623986
JD
Professional summary
Jonathan Randall Dierlam is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Evansville, Indiana and CETERA WEALTH SERVICES, LLC located in Evansville, Indiana.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 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: CHAMBER OF COMMERCE OF SOUTHWESTERN INDIANA; No; 318 MAIN ST STE 401; EVANSVILLE; IN; 47708; CHAMBER OF COMMERCE; CHAMBER AMBASSADOR; 10/1/2013; 4; 3; ATTEND MEETINGS AND ACTIVITIES (RIBBON CUTTING ETC.,) 2. NAME OF ENTITY: UNIVERSITY OF SOUTHERN INDIANA; No; 8600 UNIVERSITY BLVD; EVANSVILLE; IN; 47712; TEACHING; ADJUNCT PROFESSOR; 1/1/2016; 16; 0; PROVIDING STRUCTURED DISSERNINATION OF TEXT CONTENT,SUPPLEMENTED THROUGH LECTURE AND DISCUSSION.|NAME OF ENTITY:TRISTATE PROS; No; 2828 FOREST AVE; EVANSVILLE; IN; 47712; NETWORKING; MEMBER; 9/19/2013; 4; 4; ATTEND NETWORKING MEETINGS 3. NAME OF ENTITY: Rick Watkins Financial Services LLC; Yes; 4900 SHAMROCK DR STE 200A; EVANSVILLE; IN; 47715; FINANCIAL SERVICES/DBA; associate; 7/2/2012; 50; 40; SALE OF FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS 4. NAME OF ENTITY: CAPITAL LOGIC, LLC; Yes; 4900 SHAMROCK DR; EVANSVILLE; IN; 47715; FINANCIAL SERVICES/DBA; OWNER; 4/1/2018; 200; 200; SALE AND SERVICE INSURANCE, SECURITIES, AND INVESTMENT PRODUCTS. 5. NAME OF ENTITY: LIFE SETTLEMENT; No; 4900 Shamrock Drive; Evansville; IN; 47715; Life Settlement; INDEPENDENT INSURANCE AGENT; 7/1/2018; 1; 1; Sale and Service of life settlement; 6. NAME OF OTHER BUSINESS: THE FIRST TEE OF INDIANA; INVESTMENT RELATED: NO; ADDRESS: 1300 SAWGRASS VILLAGE CIRCLE, PONTE VERDE, FL 32082; NATURE OF BUSINESS: YOUTH PROGRAMS; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MEMBER OF COMMITTEE FOCUSING ON GROWING PARTICIPATION IN LOCAL GOLF EDUCATION ACTIVITY & PLANNING EVENTS TO GROW LOCAL DONATIONS FOR THE YOUTH ACTIVITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Randall Dierlam'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: 4900 Shamrock Dr Ste 200a, Evansville, IN 47715RIA
CRD#: 105644
EVANSVILLE, IN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4900 Shamrock Dr Ste 200a, Evansville, IN 47715BD
CRD#: 13572
Evansville, IN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 14, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
EVANSVILLE, IN
Past
April 10, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EVANSVILLE, IN
Past
January 22, 2003 - January 22, 2009
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
EVANSVILLE, IN
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(8/25/2021)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
IAR
Indiana(6/29/2023)
RR
Kentucky(6/9/2021)
RR
Michigan(11/6/2023)
RR
Missouri(1/6/2025)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(12/1/2021)
RR
South Carolina(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Evansville, IN 47715TRUST BUT VERIFY
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