WH
Wendi S. Hall
CETERA INVESTMENT ADVISERS LLC
BROOKFIELD, WI 53005
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CRD#: 4874832
WH
Professional summary
Wendi S Hall is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brookfield, Wisconsin and CETERA WEALTH SERVICES, LLC located in South Milwaukee, Wisconsin.
Wendi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Wendi has worked at 4 firms and has passed the Series 65, Series 63, 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) Accounting and Financial Women's Alliance the Milw 2365 Harrodsburg Road~Lexington, KY 40504~Other~Director/Officer~1/1/1998;10hrs;5hrs;Public Relations Chair 2) THE FOUNDATION OF THE ACCOUNTING AND FINANCIAL WOMEN'S ALLIANCE; POSITION: Director/Officer NATURE: Nonprofit organization providing scholarships to women in the accounting and finance fields. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2016; 2365 Horrodsburg Road, Suite A325, Lexington KY 40504, To carry out the mission of the organization: Raise funds for national scholarships and educational advancement of women in accounting and finance. 3) ACCOUNTING AND FINANCIAL WOMEN'S ALLIANCE THE MILWAUKEE CHAPTER; POSITION: Director/Officer NATURE: A non-profit organization supporting women in the accounting and finance fields. It's primary focus is to provide education, networking opportunities, and scholarships. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1998; 2365 Harrodsburg Road, Lexington KY 40504, Serving in various capacities to organize and advertise meetings, locate speakers, schedule events, raise funds for scholarships, and select scholarship recipients. 4) DBHW WEALTH PARTNERS; POSITION: Partner NATURE: This is a branding name that represents some businesses within our organization currently disclosed on our U4. The businesses that fall under this brand are currently: Hall Wehring CPAs LLC and Wehring & DB Tax and Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022; 15400 W Capitol Dr, Suite 201, Brookfield WI 53005, This is strictly a DBA (doing business as) used for branding and marketing. There are no daily duties or responsibilities associated with this DBA. This DBA will appear on our email, marketing, social media, signage, website, and other marketing materials. 5) DB WEHRING WEALTH LLC; POSITION: Senior Wealth Planner NATURE: Financial planning and investment services INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2023; 15400 W Capitol Dr Suite 201, Brookfield WI 53005; Practice management Financial planning Investment advisory services to clients Insurance planning for clients 6) HALL WEHRING CPAS; POSITION: President NATURE: Tax and accounting services. INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 145 START DATE: 07/01/2022; 15400 West Capitol Dr., Suite 201, Brookfield WI 53005, I prepare tax returns, financial statements, consult with business owners regarding the accounting aspects of their business. Manage employees of the company. 7) WEHRING & DB TAX AND WEALTH; POSITION: Employee NATURE: Organization formed to handle payroll, benefits, and other common business expenses of Wehring Wealth Management, DB Tax and Wealth, and Hall Wehring CPAs INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 15400 W Capitol Dr, Suite 201, Brookfield WI 53005, None. All duties and responsibilities fall under Hall Wehring CPAs LLC 8) Wendi S. Hall (1); Marketing Executive; Wellness company - manufactures environmentally conscious, naturally derived personal care and home products.; NIR; 0; 07/01/2002; W145N6590 Cedar Ridge Ln Menomonee Falls WI 53051; I receive a referral commission for anyone I refer to the company who becomes a customer.
CRS (Client Relationship Summary) - RIA
Click below to view Wendi S Hall'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: 15400 W Capitol Drive Suite 201, Brookfield, WI 53005Office #2: 1125 Milwaukee Avenue, South Milwaukee, WI 53172RIA
CRD#: 105644
BROOKFIELD, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1125 Milwaukee Avenue, South Milwaukee, WI 53172Office #2: 15400 W Capitol Drive Suite 201, Brookfield, WI 53005BD
CRD#: 13572
South Milwaukee, WI
Past
November 6, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Brookfield, WI
Past
January 4, 2005 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
South Milwaukee, WI
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
Minnesota(9/5/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/5/2025)
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
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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#: 105644Brookfield, WI 53005TRUST BUT VERIFY
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