SM
Seth L. Mcclellan
CETERA INVESTMENT ADVISERS LLC
Brooklyn, NY 10917
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CRD#: 5355246
SM
Professional summary
Seth Loren Gale Mcclellan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA ADVISORS LLC located in West Des Moines, Iowa.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Seth has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Loren Gale Mcclellan'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 347 Flushing Ave, Ste 522, Brooklyn, NY 10917Office #2: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266RIA
CRD#: 105644
Brooklyn, NY
Current
October 11, 2011 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 347 Flushing Ave, Ste 522, Brooklyn, NY 10917BD
CRD#: 10299
West Des Moines, IA
Past
July 15, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 13, 2016 - June 14, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
W Des Moines, IA
Past
July 10, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
West Des Moines, IA
Past
July 10, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WEST DES MOINES, IA
Past
July 10, 2015 - November 2, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
W DES MOINES, IA
Past
July 10, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
W Des Moines, IA
Past
May 11, 2012 - June 14, 2022
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
W DES MOINES, IA
Past
October 11, 2011 - June 14, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
W DES MOINES, IA
Past
March 9, 2009 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 9, 2009 - October 5, 2010
CETERA ADVISORS LLC
BD
CRD#: 10299
DES MOINES, IA
Past
March 9, 2009 - October 5, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DES MOINES, IA
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(7/22/2022)
RR
Alaska(7/22/2022)
RR
Arizona(7/22/2022)
RR
Arkansas(7/22/2022)
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(7/22/2022)
RR
District of Columbia(7/22/2022)
RR
Florida(7/22/2022)
RR
Georgia(7/22/2022)
RR
Hawaii(7/22/2022)
RR
Idaho(7/22/2022)
RR
Illinois(7/22/2022)
RR
Indiana(7/22/2022)
RR
Iowa(7/15/2022)
IAR
Iowa(3/21/2024)
RR
Kansas(7/22/2022)
RR
Kentucky(7/22/2022)
RR
Louisiana(7/22/2022)
RR
Maine(7/22/2022)
RR
Maryland(7/22/2022)
RR
Massachusetts(7/22/2022)
RR
Michigan(7/22/2022)
RR
Minnesota(7/22/2022)
RR
Mississippi(7/22/2022)
RR
Missouri(7/22/2022)
RR
Montana(7/22/2022)
RR
Nebraska(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Hampshire(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New Mexico(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
North Dakota(7/22/2022)
RR
Ohio(7/25/2022)
RR
Oklahoma(7/22/2022)
RR
Oregon(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Rhode Island(7/22/2022)
RR
South Carolina(7/22/2022)
RR
South Dakota(7/22/2022)
RR
Tennessee(7/22/2022)
RR
Texas(7/22/2022)
IAR
Texas(3/21/2024)
RR
Utah(7/22/2022)
RR
Vermont(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
RR
West Virginia(7/22/2022)
RR
Wisconsin(7/22/2022)
RR
Wyoming(7/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Brooklyn, NY 10917TRUST BUT VERIFY
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