Terry R. Cole

CETERA INVESTMENT ADVISERS

Scottsdale, AZ 85255

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CRD#: 50622

Professional summary

Terry Ronald Cole, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Kirkland, Washington.

Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Terry has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Estate Planning

Investment Planning

Retirement Planning

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Ronald Cole'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: 1995

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8246 E. Sierra Pinta, Scottsdale, AZ 85255

RIA

CRD#: 105644

Scottsdale, AZ

Current

April 24, 1990 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KIRKLAND, WA

Past

October 20, 1997 - March 18, 2025

SENIOR FINANCIAL ADVISORS, INC.

RIA

CRD#: 117257

BELLEVUE, WA

Past

February 10, 1995 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BELLEVUE, WA

Past

July 11, 1989 - October 30, 1989

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 11, 1989 - October 30, 1989

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 30, 1989 - April 26, 1990

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

May 3, 1988 - June 13, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - May 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 12, 1984 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

July 24, 1980 - January 23, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

April 20, 1977 - July 28, 1978

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

April 10, 1975 - June 5, 1977

PW SECURITIES, INC.

CRD#: 6775

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

IAR

Arizona
(12/4/2024)

Arizona
(3/31/2026)

Washington
(4/24/1990)

IAR

Washington
(6/29/2023)

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

IAR

Series 65

Date: 1/6/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/5/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/1983

General Securities Principal 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

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

xxxxx@xxxx.xxx

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Terry R. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Ronald Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

SENIOR FINANCIAL ADVISORS, INC.

CETERA WEALTH SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

DERAND/PENNINGTON/BASS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

GREEN HILL FINANCIAL SERVICE CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

PW SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/1995

Series 63

Date: 11/30/1983

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

Series 1

Date: 4/5/1975

Series 24

Date: 11/7/1983

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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