CS
Chad E. Shafer
CETERA INVESTMENT ADVISERS LLC
BALDWIN, WI 54002
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CRD#: 5047655
CS
Professional summary
Chad Edward Shafer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baldwin, Wisconsin and CETERA WEALTH SERVICES, LLC located in Baldwin, Wisconsin.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Chad has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) SHAFER FINANCIAL SERVICES, SC POSITION: President NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 08/16/2005 ADDRESS: 550 10th Avenue, Suite 101, Baldwin WI 54002, United States DESCRIPTION: Tax preparation, bookkeeping, managing staff 2) United Fire & Rescue~1580 10th Avenue~Baldwin~WI~54002~Firefighter~Other~6/28/2005~10hrs~0hrs~Member of Volunteer Fire Department since 2005. In 2009 started receiving compensation for accounting and payroll consulting. 3) HEADED NORTH, LLC POSITION: Owner NATURE: Kayak rental and storage INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 1380 Franklin Street, Baldwin WI 54002, United States DESCRIPTION: meeting with customers, collecting fees, paying bills, all financial and tax reporting 4) UNITED FIRE & RESCUE DISTRICT, INC. POSITION: Firefighter NATURE: 501c3 volunteer fire department INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/28/2004 ADDRESS: 1580 10th Avenue, Baldwin WI 54002, United States DESCRIPTION: Respond to emergency calls as requested, primarily fires and vehicle accidents. Attend monthly trainings and meetings. Also, help with monthly bookkeeping tasks, and attend monthly board meetings, but that is as a separate activity/client for my separately disclosed accounting business. Also, provide info to assist with grant application for equipment purchases as requested. 5) TAX-SMART ADVISORY GROUP LLC POSITION: Advisory Representative NATURE: Tax-Smart Advisory Group LLC is financial advisors shared services INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/22/2023 ADDRESS: 246 Tierney Drive, New Richmond WI 54017, United States DESCRIPTION: deal with day to day activities for financial advisors, and provide services that facilitate maintenance and growth of advisory business 6) SHAFER FINANCIAL SERVICES, SC POSITION: President NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 08/16/2005 ADDRESS: 550 10th Avenue, Suite 101, Baldwin WI 54002, United States DESCRIPTION: Tax preparation, bookkeeping, managing staff
CRS (Client Relationship Summary) - RIA
Click below to view Chad Edward Shafer'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 550 Tenth Ave Suite 101, Baldwin, WI 54002RIA
CRD#: 105644
BALDWIN, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 550 Tenth Ave Suite 101, Baldwin, WI 54002BD
CRD#: 13572
BALDWIN, WI
Past
February 4, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Baldwin, WI
Past
November 5, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BALDWIN, WI
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
Hawaii(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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#: 105644Baldwin, WI 54002TRUST BUT VERIFY
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