AE
Albert O. Eck
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, IL 62701
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CRD#: 4751770
AE
Professional summary
Albert Oscar Eck III, who also goes by Al Oscar Eck III, Albert Oscar Eck, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Illinois and CETERA WEALTH SERVICES, LLC located in Springfield, Illinois.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Albert has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Oscar Eck Iii | Albert Oscar Eck
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) F.A.E. 2021 IR TRUST; Co-trustee; As Trustee, owner of the assets, handling trust assets, the tax filings, the distribution of assets; IR; HRS 1; HRS 1; 10/19/2021; 227 South Seventh Street, Springfield IL 62701; As Trustee, owner of the assets, handling trust assets, the tax filings, the distribution of assets 2) ECK, SCHAFER & PUNKE, LLP; Financial Advisor; CPA firm providing tax, audit and accounting . Firm operates a wealth management service, Avantax as BD; IR; HRS 160; HRS 130; 07/27/2022; 227 South Seventh Street, Springfield IL 62701; I help clients with the planning /management of financial assets. Management, and new account set ups & admin tasks 3) DANA THOMAS HOUSE FOUNDATION; Board Member / Finance Committee Member; The foundation operates a gift shop and raises money for the maintenance and improvement of the historic Dana Thomas House; NIR; HRS 4; HRS 2; 09/21/2023; Dana-Thomas House Foundation, 302 E. Lawrence Avenue, Springfield IL 62703; The board is responsible, fundraising, education efforts, operational duties of the foundation (including a gift shop), property management of property owned, and cooperation with the State of IL, the owner of the historic site, to support the site. As a Finance Committee Member, I provide guidance and expertise to the financial operations of the foundation. The finance committee monitors /reports on the fiscal health of the foundation. The committee will at times make recommendations to the board regarding investable assets. I will recuse myself from any specific investment advice to avoid a conflict of interest. 4)GIRLS ON THE RUN OF CENTRAL ILLINOIS; Finance Committee Member; Serving as finance committee member. 501(c)3 nonprofit organization; NIR; HRS 1; HRS 1; 07/01/2017; 907 Clocktower Drive, Springfield IL 62704; As a member , I add my knowledge and time to the review, management, and oversight of the organizations fiscal performance. Recommendations to the board regarding investment /cash management. Specific investment decisions are left to the third-party manager, the Community Foundation for the Land of Lincoln. I act as a directed member for investment related activity. Girls on the Run maintains two bank accounts, a cd ladder with local institutions, and an endowment fund with the Community Foundation for the Land of Lincoln 5) ESP WEALTH MANAGEMENT, LLC; Financial Advisor; Financial Services Entity; IR; HRS 40; HRS 130; 04/13/2022; 227 South Seventh Street, Springfield IL 62701; My role in this firm is as a Financial Advisor and encompasses all the normal duties of financial advising and wealth managment services. 6) SHG HIGHSCHOOL INVESTMENT COMMITTEE POSITION: Member NATURE: The SHG Investment Committee is responsible for the oversight of the high school's prepaid tuition endowment and its general endowment. Tasked with oversight of the investment portfolio(s) which includes establishing an investment policy, selecting and monitoring the investment manager/advisor, and overseeing all investments, record keeping, and admin expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/03/2024 ADDRESS: 1200 West Washington, Springfield IL 62702 DESCRIPTION: Add expertise, knowledge, and analytical skills in supporting committee's directive. Non investment selection decisions.
CRS (Client Relationship Summary) - RIA
Click below to view Albert Oscar Eck III'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: 227 South Seventh Street, Springfield, IL 62701RIA
CRD#: 105644
SPRINGFIELD, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 227 South Seventh Street, Springfield, IL 62701BD
CRD#: 13572
SPRINGFIELD, IL
Past
July 27, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Springfield, IL
Past
July 7, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SPRINGFIELD, IL
Past
February 17, 2005 - September 21, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
SPRINGFIELD, IL
Past
February 17, 2005 - September 21, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 2, 2004 - September 2, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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(9/5/2025)
RR
Alaska(9/5/2025)
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2022
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
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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.
