Paul T. Caswell
CETERA INVESTMENT ADVISERS LLC
JACKSONVILLE, OR 97530
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CRD#: 4902845
Professional summary
Paul Towne Caswell, CFP®, ChFC® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jacksonville, Oregon and CETERA WEALTH SERVICES, LLC located in Jacksonville, Oregon.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Paul has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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. ADVENTURE WHITEWATER, NOT INVESTMENT RELATED, 730 WILLIAMS COURT, MEDFORD, OR 97504, RIVER GUIDING BUSINESS, RIVER GUIDE IN A NON-OWNER RELATIONSHIP, START DATE 6/2001, AVERAGE OF 40 HOURS PER YEAR DEVOTED TO JOB, NO HOURS DEVOTED DURING SECURITIES TRADING HOURS, MY DUTIES SIMPLY INVOLVE GUIDING CLIENTS DOWN THE RIVER. 2.NAME OF OTHER BUSINESS: TABLE ROCK FELLOWSHIP INVESTMENT RELATED: NO ADDRESS: 3610 N. PACIFIC HWY MEDFORD OR 97501 NATURE OF BUSINESS: RELIGIOUS ORGANIZATION START DATE: 4/2018 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: ELDER BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS, WORK ON CHURCH BUDGET, DISCIPLESHIP 3. NAME OF OTHER BUSINESS: PWA OPERATIONS, LLC DBA PIONEER WEALTH ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: 675, LLC; INVESTMENT RELATED: NO; ADDRESS: 675 N 5TH ST JACKSONVILLE, OR 97530; NATURE OF BUSINESS: REAL ESTATE; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING PURCHASE, SET UP AND MANAGE LEASE WITH PWA OPERATIONS, LLC; 5. NAME OF OTHER BUSINESS: SOUTHERN OREGON SKI EDUCATION FOUNDATION (SOSEF), INVESTMENT RELATED: NO, ADDRESS: 11 MT. ASHLAND SKI RD. ASHLAND, OR 97520, NATURE OF BUSINESS: NON-PROFIT, START DATE: 09/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: THIS ENTITY SERVES TO FACILITATE HIGH SCHOOL SKI RACING IN SOUTHERN OREGON.;
CRS (Client Relationship Summary) - RIA
Click below to view Paul Towne Caswell'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®
CFP®
Start date: 2009
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 675 N 5th St, Jacksonville, OR 97530RIA
CRD#: 105644
JACKSONVILLE, OR
Current
May 22, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 675 N 5th St, Jacksonville, OR 97530BD
CRD#: 13572
Jacksonville, OR
Past
June 20, 2007 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MEDFORD, OR
Past
February 24, 2005 - May 16, 2007
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
EUGENE, OR
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(1/7/2020)
RR
California(1/4/2010)
RR
Florida(1/5/2022)
RR
Georgia(5/11/2021)
RR
Hawaii(6/27/2025)
RR
Idaho(4/12/2021)
RR
Montana(6/9/2020)
RR
Nevada(6/16/2017)
RR
Oregon(5/23/2007)
IAR
Oregon(6/29/2023)
RR
South Carolina(3/23/2021)
RR
Washington(7/12/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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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.
