Alexander H. Minge

CETERA INVESTMENT ADVISERS LLC

Maryville, TN

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CRD#: 5083536

Professional summary

Alexander Houston Minge, who also goes by Alex Minge, Alexander H Minge, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Maryville, Tennessee and CETERA ADVISORS LLC located in Maryville, Tennessee.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Alexander has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Minge | Alexander H Minge

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: ODYSSEY INVESTMENT ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP:PRESIDENT/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) CONTINENTAL COFFEE COMPANY, INVESTMENT RELATED, 3062 DEVAULT ROAD, LOUISVILLE, TN, 37777, RETAIL, STARTED 12/2019, POSITION/TITLE/RELATIONSHIP: CO OWNER, APX 5 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FINANCIAL, OVERSEE BUYING OF NEW GREEN COFFEE, DECIDING ON ROASTING PROFILE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Houston Minge'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Maryville, TN

Current

November 19, 2020 - Present

CETERA ADVISORS LLC

CRD#: 10299

Maryville, TN

Past

November 19, 2020 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

KNOXVILLE, TN

Past

October 18, 2017 - August 28, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

KNOXVILLE, TN

Past

October 13, 2017 - August 28, 2020

LPL FINANCIAL LLC

CRD#: 6413

KNOXVILLE, TN

Past

June 23, 2015 - October 18, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

OAK RIDGE, TN

Past

June 23, 2015 - October 18, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

OAK RIDGE, TN

Past

July 10, 2013 - June 24, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

MARYVILLE, TN

Past

May 3, 2012 - October 1, 2013

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

KNOXVILLE, TN

Past

October 11, 2011 - May 1, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

MARYVILLE, TN

Past

October 11, 2011 - June 24, 2015

LPL FINANCIAL LLC

CRD#: 6413

KNOXVILLE, TN

Past

April 8, 2009 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

KNOXVILLE, TN

Past

March 30, 2009 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

KNOXVILLE, TN

Past

January 24, 2008 - June 30, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

KNOXVILLE, TN

Past

January 24, 2008 - June 30, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

KNOXVILLE, TN

Past

September 20, 2006 - November 30, 2007

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

KNOXVILLE, TN

Past

July 3, 2006 - November 30, 2007

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

KNOXVILLE, TN

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

Arkansas
(1/4/2022)

Florida
(1/4/2022)

Georgia
(1/4/2022)

Mississippi
(1/4/2022)

North Carolina
(10/22/2025)

Tennessee
(1/9/2023)

IAR

Tennessee
(3/21/2024)

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: 9/6/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/3/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/1/2006

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)

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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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Firm Stability Insights

Alexander H. Minge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Houston Minge's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/6/2006

SIE

Date: 10/1/2018

Series 31

Date: 3/3/2008

Series 7

Date: 7/1/2006

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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