Keith E. Maurer

CETERA INVESTMENT ADVISERS LLC

BLOOMINGTON, IL 61701

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CRD#: 5260312

Professional summary

Keith Edward Maurer, who also goes by Keith Maurer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bloomington, Illinois and CETERA INVESTMENT SERVICES LLC located in Clayton, Missouri.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Keith has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Maurer

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.) BBCHS ACADEMIC FOUNDATION; PRESIDENT; GRANTS MONEY TO TEACHERS AND STUDENTS AT LOCAL HIGH SCHOOL; DOESN'T INVOLVE SECURITIES CLIENTS OR SERVICES; NO COMPENSATION; 1 HR/WK. 2.) HEARTLAND COMMUNITY COLLEGE; BOARD MEMBER; NOT SECURITIES RELATED; 1 HR WK."

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Edward Maurer'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

January 6, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1304 East Empire Street, Bloomington, IL 61701

RIA

CRD#: 105644

BLOOMINGTON, IL

Current

January 6, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 8182 Maryland Ave, Clayton, MO 63105Office #2: 350 North Water St., Decatur, IL 62523Office #3: 1304 East Empire Street, Bloomington, IL 61701

CRD#: 15340

Clayton, MO

Past

March 22, 2013 - January 5, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOURBONNAIS, IL

Past

March 14, 2013 - January 5, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOURDONNAIS, IL

Past

March 23, 2011 - March 8, 2013

MORGAN STANLEY

RIA

CRD#: 149777

ORLAND PARK, IL

Past

March 23, 2011 - March 8, 2013

MORGAN STANLEY

CRD#: 149777

ORLAND PARK, IL

Past

April 9, 2010 - August 24, 2010

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

NORTH AURORA, IL

Past

June 2, 2009 - March 29, 2010

LAKESIDE WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 140271

CHESTERTON, IN

Past

May 28, 2009 - March 25, 2010

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

CHESTERTON, IN

Past

November 12, 2008 - June 17, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

November 12, 2008 - June 17, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

March 30, 2007 - November 14, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MERRILLVILLE, IN

Past

March 5, 2007 - November 14, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MERRILLVILLE, IN

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

Arizona
(5/1/2024)

California
(7/21/2025)

Colorado
(1/20/2022)

Florida
(3/6/2017)

Georgia
(7/8/2020)

Illinois
(1/6/2015)

IAR

Illinois
(1/6/2015)

Indiana
(7/21/2025)

Iowa
(1/22/2015)

Kentucky
(12/3/2019)

Michigan
(8/25/2016)

Minnesota
(11/4/2022)

Missouri
(11/30/2023)

Nevada
(5/28/2021)

Pennsylvania
(1/6/2015)

South Carolina
(10/4/2023)

Tennessee
(1/2/2020)

Texas
(8/15/2019)

IAR

Texas
(1/18/2023)

Virginia
(7/13/2021)

Wisconsin
(2/25/2020)

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: 3/29/2007

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: 3/2/2007

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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Advisor Monitoring

Firm Stability Insights

Keith E. Maurer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Edward Maurer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

ALLSTATE FINANCIAL SERVICES, LLC

LAKESIDE WEALTH MANAGEMENT GROUP, LLC

FIRST ALLIED SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2007

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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