NF
Nolan W. Farwell
CETERA INVESTMENT ADVISERS LLC
WATERLOO, IA 50701
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CRD#: 4983567
NF
Professional summary
Nolan Wayne Farwell is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Waterloo, Iowa and CETERA ADVISORS LLC located in Waterloo, Iowa.
Nolan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nolan has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 51 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) NAME OF OTHER BUSINESS: FINANCIAL RESOURCE ADVISORS, LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: SECURITIES, ADVISORY, INSURANCE ; START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF TRADING HOURS PER WEEK: 32.5 ; POSITION/TITLE/RELATIONSHIP: PARTNER / INVESTMENT ADVISOR REPRESENTATIVE ; BRIEF DESCRIPTION OF DUTIES: SECURITIES, ADVISORY, INSURANCE ; 2) NAME OF OTHER BUSINESS: FARWELL FINANCIAL SERVICES, INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S CORP START DATE: 6/2012 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF TRADING HOURS PER WEEK: 10 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: OWNS UNITS OF FRA LLC 3) CANDEO CHURCH, NOT INVESTMENT RELATED, 3211 TITAN TRAIL DR., WATERLOO, IA 50701, RELIGIOUS, STARTED 6/2015, FINANCE COMMITTEE MEMBER, APX 1 HOUR PER WEEK, NONE DURING TRADING HOURS, MONITORS AND RECOMMEND POLICIES FOR CHURCHES FINANCES; 4) NAME OF OTHER BUSINESS: FRA TOWER PARK, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: PART OWNER, BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING OWNERSHIP; 4) NAME OF OTHER BUSINESS: NOLAN FARWELL, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: HISTORIC PRESERVATION, START DATE: 01/2025 POSITION/TITLE/RELATIONSHIP: WRITER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: HIRED TO WRITE THE APPLICATION FOR NATIONAL HISTORIC DESIGNATION FOR AN OLD MINING LOCATION NEAR HAHN'S PEAK, COLORADO;
CRS (Client Relationship Summary) - RIA
Click below to view Nolan Wayne Farwell'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 816 Tower Park Dr, Waterloo, IA 50701RIA
CRD#: 105644
WATERLOO, IA
Current
May 5, 2008 - Present
CETERA ADVISORS LLC
Office #1: 816 Tower Park Dr, Waterloo, IA 50701BD
CRD#: 10299
Waterloo, IA
Past
June 2, 2008 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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(1/7/2014)
RR
Alaska(8/28/2009)
RR
Arizona(1/7/2014)
RR
Arkansas(1/7/2014)
RR
California(1/7/2014)
RR
Colorado(1/7/2014)
RR
Connecticut(1/7/2014)
RR
Florida(1/7/2014)
RR
Georgia(1/7/2014)
RR
Hawaii(3/10/2010)
RR
Idaho(1/7/2014)
RR
Illinois(1/5/2021)
RR
Indiana(2/25/2019)
RR
Iowa(6/2/2008)
IAR
Iowa(3/21/2024)
RR
Kansas(6/2/2008)
RR
Kentucky(1/7/2014)
RR
Maryland(9/21/2015)
RR
Massachusetts(1/7/2014)
RR
Michigan(1/7/2014)
RR
Minnesota(1/7/2014)
RR
Mississippi(9/21/2015)
RR
Missouri(1/7/2014)
RR
Nebraska(1/7/2014)
RR
Nevada(1/7/2014)
RR
New Jersey(8/29/2018)
RR
New Mexico(11/27/2018)
RR
New York(1/7/2014)
RR
North Carolina(1/7/2014)
RR
Ohio(1/7/2014)
RR
Oklahoma(1/7/2014)
RR
Oregon(4/19/2016)
RR
Pennsylvania(9/10/2020)
RR
South Carolina(1/7/2014)
RR
South Dakota(1/7/2014)
RR
Tennessee(1/7/2014)
RR
Texas(1/7/2014)
IAR
Texas(3/21/2024)
RR
Utah(1/21/2025)
RR
Virginia(1/7/2014)
RR
Washington(1/7/2014)
RR
West Virginia(1/7/2014)
RR
Wisconsin(1/7/2014)
RR
Wyoming(1/7/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Waterloo, IA 50701TRUST BUT VERIFY
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