Keith M. Gengler

CETERA INVESTMENT ADVISERS LLC

SIOUX CITY, IA 51101

Some features on this profile are disabled

CRD#: 5075921

Professional summary

Keith Michael Gengler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sioux City, Iowa and CETERA WEALTH SERVICES, LLC located in Sioux City, Iowa.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Keith has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

NAME OF ENTITY:BISHOP HEELAN CATHOLIC SCOOLS; No; 1018 GRANDVIEW BLVD; SIOUXCITY; IA; 51103; FINANCE BOARD; MEMBER; 8/11/2016; 1; 0; REVIEW MONTHLY BUDGET|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 401 DOUGLAS ST STE 100; SIOUX CITY; IA; 51101; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/15/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Michael Gengler'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 401 Douglas Street Ste 100, Sioux City, IA 51101

RIA

CRD#: 105644

SIOUX CITY, IA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 401 Douglas Street Ste 100, Sioux City, IA 51101

CRD#: 13572

SIOUX CITY, IA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 18, 2013 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

SIOUX CITY, IA

Past

June 15, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SIOUX CITY, IA

Past

July 18, 2007 - June 16, 2009

FSB PREMIER WEALTH MANAGEMENT, INC.

RIA

CRD#: 15898

SIOUX CITY, IA

Past

January 1, 2006 - June 16, 2009

FSB PREMIER WEALTH MANAGEMENT, INC.

CRD#: 15898

SIOUX CITY, IA

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

Iowa
(6/9/2021)

IAR

Iowa
(6/29/2023)

Minnesota
(6/9/2021)

Nebraska
(6/9/2021)

South Dakota
(6/9/2021)

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: 6/18/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2005

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

Sean Merlonghi

DAKOTA WEALTH, LLC

IAR

LEWES, DE

Philip Richman

CICLO WEALTH LLC

IAR

Portland, OR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith M. Gengler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Michael Gengler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FSB PREMIER WEALTH MANAGEMENT, INC.

FSB PREMIER WEALTH MANAGEMENT, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/2013

Series 63

Date: 1/10/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2005

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

Similar Advisors