PN
Paul W. Neuenswander
CETERA INVESTMENT ADVISERS LLC
MIDVALE, UT 84047
Some features on this profile are disabled
CRD#: 4784372
PN
Professional summary
Paul William Neuenswander is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midvale, Utah and CETERA WEALTH SERVICES, LLC located in Salt Lake City, Utah.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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 OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2006 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE; 2) NAME OF OTHER BUSINESS: GRANITE CREDIT UNION ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CREDIT UNION ; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE ; START DATE: 02/2020 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES OF B/D ON CREDIT UNION PREMISES; 3) NAME OF OTHER BUSINESS: PEAK GC THREE LLC; INVESTMENT RELATED: NO; ADDRESS: 114 WEST WINCHESTER STREET MURRAY, UT 84107; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY INVESTMENT; 4) NAME OF OTHER BUSINESS: GRANITE INVESTMENT SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 12/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR TAX PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Paul William Neuenswander'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: 6955 S Union Park Ctr Ste 550, Midvale, UT 84047Office #2: 10507 So Redwood Rd, South Jordan, UT 84095Office #3: 1479 East 2100 South, Salt Lake City, UT 84105Office #4: 12538 Creek Meadow Rd, Riverton, UT 84065Office #5: 3675 S 900 E, Salt Lake City, UT 84106Office #6: 3109 West 4700 South, Taylorsville, UT 84129RIA
CRD#: 105644
MIDVALE, UT
Current
November 1, 2004 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1479 East 2100 South, Salt Lake City, UT 84105Office #2: 3675 S 900 E, Salt Lake City, UT 84106Office #3: 3109 West 4700 South, Taylorsville, UT 84129BD
CRD#: 13572
Salt Lake City, UT
Past
May 7, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
TAYLORSVILLE, UT
Past
June 16, 2004 - November 24, 2004
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Arizona(5/15/2013)
RR
Colorado(9/29/2016)
RR
Idaho(5/15/2013)
RR
Maryland(11/10/2021)
RR
Michigan(11/9/2021)
RR
New Mexico(9/23/2020)
RR
Texas(12/12/2017)
IAR
Texas(6/29/2023)
RR
Utah(11/1/2004)
IAR
Utah(6/29/2023)
RR
Virginia(6/27/2014)
RR
Washington(1/15/2025)
RR
Wyoming(9/3/2024)
Exams
State Security Law Exam
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
