Adam J. Trent

CETERA INVESTMENT ADVISERS LLC

CARMEL, IN 46032

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CRD#: 5039682

Professional summary

Adam Jeffrey Trent, CFP®, who also goes by Adam Jeffrey Trent, Adam J Trent, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carmel, Indiana and CETERA ADVISORS LLC located in Carmel, Indiana.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Adam has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Jeffrey Trent | Adam J Trent

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: PROSPERITY ADVISORS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START: 1/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jeffrey Trent'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 11595 N Meridian St Ste 300, Carmel, IN 46032

RIA

CRD#: 105644

CARMEL, IN

Current

January 4, 2023 - Present

CETERA ADVISORS LLC

Office #1: 11595 N Meridian St Ste 300, Carmel, IN 46032

CRD#: 10299

Carmel, IN

Past

January 4, 2023 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

July 25, 2022 - December 13, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

INDIANAPOLIS, IN

Past

July 22, 2022 - December 13, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

INDIANAPOLIS, IN

Past

February 16, 2022 - April 27, 2022

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Carmel, IN

Past

February 16, 2022 - April 27, 2022

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Carmel, IN

Past

January 3, 2019 - October 8, 2021

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

INDIANAPOLIS, IN

Past

January 7, 2017 - November 10, 2017

OPTIONSXPRESS, INC.

CRD#: 103849

INDIANAPOLIS, IN

Past

February 10, 2014 - January 3, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Indianapolis, IN

Past

August 3, 2006 - October 8, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, IN

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

Arizona
(1/23/2024)

California
(6/12/2024)

Colorado
(6/12/2024)

Florida
(12/26/2023)

Georgia
(5/2/2024)

Idaho
(1/4/2024)

Illinois
(1/2/2024)

Indiana
(1/4/2023)

IAR

Indiana
(3/21/2024)

Iowa
(1/10/2025)

Kansas
(9/4/2024)

Louisiana
(1/10/2025)

Maryland
(1/10/2025)

Massachusetts
(6/12/2024)

Michigan
(1/2/2024)

Minnesota
(1/10/2025)

Mississippi
(4/23/2024)

Missouri
(4/23/2024)

Nebraska
(1/14/2025)

North Carolina
(5/15/2024)

Ohio
(6/12/2024)

Oklahoma
(6/5/2024)

Tennessee
(5/2/2024)

Texas
(1/2/2024)

IAR

Texas
(3/21/2024)

Wisconsin
(1/2/2024)

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

IAR

Series 66

Date: 2/10/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/8/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/29/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/2/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/14/2016

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/2/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/30/2008

General Securities Sales Supervisor - Options Module 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.

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Advisor Monitoring

Firm Stability Insights

Adam J. Trent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jeffrey Trent's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

SCHWAB WEALTH ADVISORY, INC.

OPTIONSXPRESS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2014

Series 63

Date: 9/8/2006

SIE

Date: 10/1/2018

Series 3

Date: 12/29/2016

Series 7

Date: 8/2/2006

Series 4

Date: 3/14/2016

Series 10

Date: 5/2/2008

Series 9

Date: 1/30/2008

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

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