Robert A. Faust

CETERA INVESTMENT ADVISERS LLC

LODI, CA

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CRD#: 5141188

Professional summary

Robert Anton Faust, who also goes by Robert A. Faust, Robert Anton Faust, Robert William June Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lodi, California and CETERA FINANCIAL SPECIALISTS LLC located in Lodi, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Robert has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert A. Faust | Robert Anton Faust | Robert William June Jr

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) BARRETT BUSINESS SERVICES INC; MODESTO, CA; NON-INVESTMENT RELATED; BUSINESS DEVELOPMENT MANAGER; SELLS HR/PAYROLL AND STAFFING SERVICES TO SMALL AND MID SIZE BUSINESSES; SINCE 01/21; 160 HRS/MO 2) TRUSTEE FOR IMMEDIATE FAMILY TRUST; LODI, CA; NON-INVESTMENT RELATED; SINCE 02/2019; 1 HR/MO 3) NAME OF OTHER BUSINESS: VISITING ANGELS; INVESTMENT RELATED: NO; ADDRESS: 3453 BROOKSIDE RD #C STOCKTON, CA 95219; NATURE OF BUSINESS: NON-MEDICAL HOME CARE SERVICES; START DATE: 7/2022; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT MANAGER APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: MARKETING NON MEDICAL HOME HEALTH CARE TO DOCTORS, HOSPITALS, REHAB CENTERS AND OTHERS ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Anton Faust'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

April 1, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LODI, CA

Current

April 1, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

LODI, CA

Past

November 3, 2017 - January 26, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LODI, CA

Past

November 1, 2017 - January 26, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LODI, CA

Past

January 24, 2017 - November 2, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

STOCKTON, CA

Past

January 23, 2017 - November 2, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

STOCKTON, CA

Past

February 14, 2014 - January 19, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SACRAMENTO, CA

Past

January 16, 2014 - January 19, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SACRAMENTO, CA

Past

November 13, 2012 - December 31, 2013

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LODI, CA

Past

April 6, 2011 - November 12, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LODI, CA

Past

February 22, 2010 - December 2, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MANTECA, CA

Past

November 26, 2008 - December 23, 2009

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

MANTECA, CA

Past

January 22, 2008 - October 27, 2008

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

SACRAMENTO, CA

Past

December 13, 2007 - October 27, 2008

SIGNATOR INVESTORS, INC.

CRD#: 468

SACRAMENTO, CA

Past

September 28, 2006 - November 30, 2007

WADDELL & REED

RIA

CRD#: 866

STOCKTON, CA

Past

September 6, 2006 - November 30, 2007

WADDELL & REED

CRD#: 866

STOCKTON, CA

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

California
(4/1/2021)

IAR

California
(4/1/2021)

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 66

Date: 9/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2006

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

Robert A. Faust

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Anton Faust's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

GUARANTY BROKERAGE SERVICES, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2006

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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