CL
Charles J. Lipps
CETERA INVESTMENT ADVISERS LLC
FAIRVIEW, OK 73737
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CRD#: 4887104
CL
Professional summary
Charles James Lipps, who also goes by Charles James Lipps, Charles Lipps, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fairview, Oklahoma and CETERA WEALTH SERVICES, LLC located in Enid, Oklahoma.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Charles has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles James Lipps | Charles Lipps
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) Wymer Brownlee Tax & Financial Mana 110 N. Independence~Enid~OK~73701~Tax Preparation/Accounting~Employee~8/1/2005~1hrs~1hrs~Assist with tax preparation as needed.| 2) CITY OF FAIRVIEW OKLAHOMA POSITION: City Councilperson/Vice Mayor NATURE: Attend city council meetings and participate in decisions with regard to budget, expenses, ordinances, zoning, purchases, sales, etc. of municipal affairs. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2022 ADDRESS: 123 S. 6th Ave, Fairview OK 73737, United States DESCRIPTION: See Item 4. Also as Vice Mayor I am authorized to sign checks on behalf of the city for approved expenditures. Each check requires 3 signatures-I am approved as one of those 3.I confirm my understanding that I am not able to participate or vote regarding raising capital and will recuse myself from any such matter. 3) Wymer Brownlee Wealth Strategies Investment Division; DBA; NIR; 01/01/2018; Wymer Brownlee Wealth Strategies Investment Division
CRS (Client Relationship Summary) - RIA
Click below to view Charles James Lipps'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: 126 S. Main, Fairview, OK 73737Office #2: 110 N Independence Enid, Enid, OK 73701Office #3: 13900 N Portland Suite 101, Oklahoma City, OK 73134RIA
CRD#: 105644
FAIRVIEW, OK
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 110 N Independence, Enid, OK 73701Office #2: 126 S. Main, Fairview, OK 73737BD
CRD#: 13572
Enid, OK
Past
January 2, 2009 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FAIRVIEW, OK
Past
August 18, 2005 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Fairview, OK
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(9/5/2025)
RR
Kansas(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nebraska(9/5/2025)
RR
Nevada(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oklahoma(9/5/2025)
IAR
Oklahoma(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
