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Heather L. Rinderknecht
CETERA INVESTMENT ADVISERS LLC
Cedar Rapids, IA 52401
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CRD#: 4738339
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Professional summary
Heather Lynne Rinderknecht, who also goes by Heather Lynne Graybill, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cedar Rapids, Iowa and CETERA WEALTH SERVICES, LLC located in Cedar Rapids, Iowa.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Heather has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heather Lynne Graybill
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) BENTON COMMUNITY SCHOOL BAND BOOSTERS POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/16/2021 ADDRESS: 304 1st ST, Van Horne IA 52346, United States DESCRIPTION: On 03/08/2023 was elected to serve as the President of the Band Boosters. Band Boosters is a 501(c)3 set up to assist in funding our high school band program. As President I will lead meetings and work with band program on projects. 2) NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Heather Lynne Rinderknecht'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
July 11, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 711 2nd Ave Se Suite 200, Cedar Rapids, IA 52401RIA
CRD#: 105644
Cedar Rapids, IA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 711 2nd Ave Se Suite 200, Cedar Rapids, IA 52401BD
CRD#: 13572
Cedar Rapids, IA
Past
May 24, 2011 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Cedar Rapids, IA
Past
September 12, 2007 - April 5, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CEDAR RAPIDS, IA
Past
February 23, 2004 - August 13, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
MARION, IA
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
Arkansas(8/10/2023)
RR
Illinois(8/10/2023)
RR
Iowa(8/10/2023)
IAR
Iowa(7/11/2024)
RR
Massachusetts(1/2/2024)
RR
Minnesota(8/10/2023)
RR
North Dakota(1/2/2024)
RR
Oklahoma(8/10/2023)
RR
Texas(1/2/2024)
IAR
Texas(10/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cedar Rapids, IA 52401TRUST BUT VERIFY
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