Pauline J. Staab

CETERA INVESTMENT ADVISERS LLC

ELGIN, IL 60124

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CRD#: 5126263

Professional summary

Pauline Joy Staab is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Elgin, Illinois and CETERA WEALTH SERVICES, LLC located in Elgin, Illinois.

Pauline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Pauline has worked at 7 firms and has passed the Series 66, Series 65, 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.

1) PORTE BROWN LLC POSITION: Partner NATURE: Public Accounting Firm INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 12/01/2016 ADDRESS: 1752 Capital Street, Suite 400, Elgin IL 60124, United States DESCRIPTION: Responsibilities include attest, tax, and general consulting 2) PORTE BROWN WEALTH MANAGEMENT POSITION: Advisor NATURE: Refer clients to Ron, Abe, and Nicky INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2018 ADDRESS: 1752 Capital Street, Suite 400, Elgin IL 60124, United States DESCRIPTION: Referring advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pauline Joy Staab'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1752 Capital Street, Elgin, IL 60124

RIA

CRD#: 105644

ELGIN, IL

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1752 Capital St Ste 400, Elgin, IL 60124

CRD#: 13572

Elgin, IL

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Elgin, IL

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Elgin, IL

Past

December 13, 2017 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

Elgin, IL

Past

November 30, 2017 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

ELGIN, IL

Past

April 1, 2008 - November 30, 2016

CLEARWATER CAPITAL PARTNERS

RIA

CRD#: 139886

ELGIN, IL

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

Illinois
(9/5/2025)

IAR

Illinois
(9/5/2025)

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: 12/21/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/25/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2017

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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Pauline J. Staab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pauline Joy Staab's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

1ST GLOBAL ADVISORS INC

CLEARWATER CAPITAL PARTNERS

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2017

Series 65

Date: 10/25/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2017

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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