Drew J. Prescott

CETERA INVESTMENT ADVISERS LLC

TROY, NY 12180

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CRD#: 4986993

Professional summary

Drew Jonathan Prescott, who also goes by Drew J Prescott, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, New York and CETERA FINANCIAL SPECIALISTS LLC located in Troy, New York.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Drew J Prescott

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) PRESCOTT PRIVATE WEALTH, INC.; TROY, NY; INVESTMENT RELATED; DBA FOR INVESTMENTS/FIXED INSURANCE; OWNER/FINANCIAL PROFESSIONAL; SINCE 12/2019; 160 HRS/MO; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 03/2025, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 4, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG-TERM CARE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Drew Jonathan Prescott'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

December 13, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 451 Hoosick St, Troy, NY 12180

RIA

CRD#: 105644

TROY, NY

Current

December 13, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 451 Hoosick St, Troy, NY 12180

CRD#: 10358

Troy, NY

Past

August 3, 2021 - December 20, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

TROY, NY

Past

November 8, 2016 - December 20, 2023

LPL FINANCIAL LLC

CRD#: 6413

TROY, NY

Past

August 13, 2013 - November 15, 2016

CFD INVESTMENTS, INC.

CRD#: 25427

TROY, NY

Past

May 3, 2013 - August 27, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

ALBANY, NY

Past

February 28, 2008 - June 16, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

ALBANY, NY

Past

December 9, 2005 - January 14, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LATHAM, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Connecticut
(12/14/2023)

Delaware
(12/21/2023)

Florida
(12/14/2023)

Kentucky
(2/15/2024)

Massachusetts
(12/13/2023)

IAR

New York
(12/13/2023)

New York
(12/14/2023)

Pennsylvania
(12/14/2023)

Texas
(12/14/2023)

IAR

Texas
(1/31/2024)

Vermont
(12/20/2023)

Virginia
(12/21/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/10/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Drew J. Prescott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Drew Jonathan Prescott's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CFD INVESTMENTS, INC.

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/2013

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2013

Series 6

Date: 12/8/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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