Carl F. Hanson
CETERA INVESTMENT ADVISERS LLC
AUGUSTA, ME 04330
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CRD#: 5228188
Professional summary
Carl Frederick Hanson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Augusta, Maine and CETERA ADVISORS LLC located in South Portland, Maine.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Carl has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) NAME OF OTHER BUSINESS: IIS FINANCIAL SERVICES INVESTMENT-RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 2010 APX NUMBER OF HOURS PER WEEK: 2.5 APX NUMBER OF TRADING HOURS PER WEEK: 2.5 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: MANAGER & ADVISOR 2) NAME OF OTHER BUSINESS: STROUDWATER CAPITAL, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: OWNER/OPERATOR, APX NUMBER OF HOURS PER WEEK: 5, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT, COMMUNICATE WITH MAINTENANCE; 3. NAME OF OTHER BUSINESS: PINE HARBOR ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025, POSITION/TITLE/RELATIONSHIP: 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;
CRS (Client Relationship Summary) - RIA
Click below to view Carl Frederick Hanson's 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®
Start date: 2016
Experience
Current
March 22, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 45 Memorial Circle Suite 104, Augusta, ME 04330Office #2: 707 Sable Oaks Drive Suite 203, South Portland, ME 04106RIA
CRD#: 105644
AUGUSTA, ME
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 707 Sable Oaks Drive Suite 203, South Portland, ME 04106Office #2: 45 Memorial Circle Suite 104, Augusta, ME 04330BD
CRD#: 10299
South Portland, ME
Past
January 26, 2022 - March 16, 2023
STROUDWATER WEALTH MANAGEMENT
RIA
CRD#: 304774
South Portlant, ME
Past
November 19, 2019 - December 31, 2021
STROUDWATER WEALTH MANAGEMENT
RIA
CRD#: 304774
South Portland, ME
Past
October 3, 2016 - April 5, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 18, 2012 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SOUTH PORTLAND, ME
Past
October 31, 2006 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SOUTH PORTLAND, ME
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(5/25/2018)
RR
California(9/1/2022)
RR
Florida(10/3/2016)
RR
Georgia(5/9/2024)
RR
Illinois(2/7/2024)
RR
Maine(10/3/2016)
IAR
Maine(3/22/2024)
RR
Massachusetts(1/23/2017)
RR
Michigan(11/17/2021)
RR
New Hampshire(4/11/2018)
RR
New York(1/2/2025)
RR
North Carolina(11/12/2019)
RR
South Carolina(5/8/2017)
RR
Tennessee(1/2/2024)
RR
Virginia(10/3/2016)
RR
Washington(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Augusta, ME 04330TRUST BUT VERIFY
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