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Samantha A. Frasier

CETERA INVESTMENT ADVISERS
Walker, LA
Some features on this profile are disabled
CRD#: 4969953
SF

Professional summary

Samantha A Frasier, who also goes by Samantha Anne Clarke, Samantha Anne Clutter, Samantha A Shaffer, Samantha Shaffer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walker, Louisiana and CETERA INVESTMENT SERVICES LLC located in San Diego, California.

Samantha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Samantha has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Samantha Anne Clarke | Samantha Anne Clutter | Samantha A Shaffer | Samantha Shaffer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samantha A Frasier's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
Walker, LA
Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 15340
SAN DIEGO, CA
Current

December 7, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 13572
SAN DIEGO, CA
Current

December 7, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 10358
SAN DIEGO, CA
Current

December 7, 2022 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101
BD
CRD#: 10299
SAN DIEGO, CA
Past

December 7, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

April 5, 2016 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
DENHAM SPRINGS, LA
Past

April 5, 2016 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
DENHAM SPRINGS, LA
Past

September 2, 2011 - April 4, 2016

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
SUMMERSVILLE, WV
Past

March 15, 2010 - April 4, 2016

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
SUMMERSVILLE, WV
Past

June 2, 2008 - December 26, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
BECKLEY, WV
Past

July 9, 2007 - January 8, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
OAK HILL, WV
Past

August 1, 2005 - August 6, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
BECKLEY, WV

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
(8/10/2022)
RR
Florida
(8/11/2022)
RR
Louisiana
(8/10/2022)
IAR
Louisiana
(8/10/2022)
RR
Mississippi
(8/10/2022)
RR
Texas
(8/10/2022)
IAR
Texas
(8/10/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2017
General Securities Principal Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Walker, LA

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