CZ
Carl R. Zegan
CETERA INVESTMENT ADVISERS LLC
GRAYSLAKE, IL 60030
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CRD#: 4632033
CZ
Professional summary
Carl Richard Zegan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Grayslake, Illinois and CETERA WEALTH SERVICES, LLC located in Orland Park, Illinois.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Carl has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, 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) Briargate Townhome Owners Association~750 Lake Cook Road, #190~Buffalo Grove~IL~60089~Board Position/Officer~Other~12/3/2018~1hrs~1hrs~I'm a volunteer Board member making decisions on issues for the association neighborhood that I live in as well. I am NOT the treasurer nor do I do anything other than attend meetings and vote on issues as well as be a monitor of the neighborhood per se. 2) STRATEGIZE TAX SERVICES, LLC; POSITION: Tax Preparer NATURE: Perform tax returns for clients using software and submitting them to the IRS for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 01/01/2021; ADDRESS: 10431 Louetta Lane, Orland Park IL 60467: Use tax software to do and file tax returns for clients of Strategize Tax Services. 3) STRATEGIZE WEALTH MANAGEMENT GROUP, INC. POSITION: Advisor NATURE: Financial Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 124 SECURITIES TRADING HOURS: 124 START DATE: 04/01/2018 ADDRESS: 15255 S. 94th Avenue, Suite 524, Orland Park IL 60462, United States DESCRIPTION: Financial Planning & Advising. 4) STRATEGIZE TAXES & INVESTMENTS POSITION: DBA NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 9538 W 147th Street, Orland Park IL 60462, United States DESCRIPTION: DBA 5) STRATEGIZE WEALTH MANAGEMENT GROUP, INC. POSITION: Advisor NATURE: Financial Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/22/2016 ADDRESS: 15255 S. 94th Avenue, Suite 524, Orland Park IL 60462, United States DESCRIPTION: Financial Planning & Advising.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Richard Zegan'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1411 Doolittle Lane, Grayslake, IL 60030Office #2: 15255 S. 94th Avenue Suite 200, Orland Park, IL 60462RIA
CRD#: 105644
GRAYSLAKE, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 15255 S. 94th Avenue Suite 200, Orland Park, IL 60462BD
CRD#: 13572
Orland Park, IL
Past
January 3, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
GRAYSLAKE, IL
Past
January 20, 2016 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Orland Park, IL
Past
March 10, 2003 - December 31, 2015
PFS INVESTMENTS INC.
BD
CRD#: 10111
LIBERTYVILLE, 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
Colorado(9/18/2025)
RR
Georgia(9/18/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Indiana(9/18/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2020
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Grayslake, IL 60030TRUST BUT VERIFY
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