SM
Sheri A. Mergenthaler
CETERA INVESTMENT ADVISERS LLC
ANNAPOLIS, MD 21403
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CRD#: 5316840
SM
Professional summary
Sheri Ann Mergenthaler, CFP®, CPWA®, who also goes by Sheri Ann Winegardner, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.
Sheri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Sheri has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheri Ann Winegardner
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) HEIMLANTZ CPAS AND ADVISORS POSITION: Wealth Management Advisor NATURE: This is just to rename our tax side of the business from HeimLantz Business and Tax Services to HeimLantz CPAs and Advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 9 START DATE: 01/01/2014 ADDRESS: 180 Admiral Cochrane Drive, Suite 520, Annapolis MD 21401, United States DESCRIPTION: Wealth Management Advisor 2) MACPA INVESTMENT COMMITTEE POSITION: Committee Member NATURE: I will be on the investment committee to manage the MACPA's investment fund. We will meet quarterly with the MACPAs investment advisor to review the account. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/14/2018 ADDRESS: 901 Dulaney Valley Road, Suite 800, Towson MD 21204, United States DESCRIPTION: Monitor and reveiw investments for MACPAs investment account.
CRS (Client Relationship Summary) - RIA
Click below to view Sheri Ann Mergenthaler'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: 2014
CPWA®
Start date: 2018-06-15
Expire date: 2024-05-31
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 180 Admiral Cochrane Drive Suite 520, Annapolis, MD 21403RIA
CRD#: 105644
ANNAPOLIS, MD
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 180 Admiral Cochrane Drive Suite 520, Annapolis, MD 21401Office #2: 44425 Pecan Court Suite 205, California, MD 20619BD
CRD#: 13572
Annapolis, MD
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Dallas, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Annapolis, MD
Past
May 7, 2012 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Annapolis, MD
Past
May 7, 2012 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
Annapolis, MD
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
Alabama(9/18/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maryland(9/5/2025)
IAR
Maryland(9/5/2025)
RR
Massachusetts(9/18/2025)
RR
Michigan(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/18/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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#: 105644Annapolis, MD 21403TRUST BUT VERIFY
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