Leah A. Clancy

CETERA INVESTMENT ADVISERS

SCOTTSDALE, AZ 85253

CRD#: 5404844

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Professional summary

Leah Autumn Clancy, who also goes by Autumn Clancy, Leah Clancy, Autumn Nichols, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Scottsdale, Arizona.

Leah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Leah has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Autumn Clancy | Leah Clancy | Autumn Nichols

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leah Autumn Clancy'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 8, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253

RIA

CRD#: 105644

SCOTTSDALE, AZ

Current

February 19, 2025 - Present

CETERA ADVISORS LLC

Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253

CRD#: 10299

SCOTTSDALE, AZ

Past

May 4, 2023 - December 18, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SCOTTSDALE, AZ

Past

May 3, 2023 - December 18, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SCOTTSDALE, AZ

Past

September 17, 2019 - March 14, 2023

ASSETMARK, INC.

RIA

CRD#: 109018

Phoenix, AZ

Past

September 16, 2019 - March 14, 2023

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Phoenix, AZ

Past

January 24, 2018 - March 5, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

PHOENIX, AZ

Past

January 23, 2018 - March 5, 2019

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

April 2, 2013 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

January 24, 2013 - April 3, 2013

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

PHOENIX, AZ

Past

January 8, 2013 - January 8, 2018

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

September 2, 2009 - November 1, 2011

WFG ADVISORS, LP

RIA

CRD#: 125073

SCOTTSDALE, AZ

Past

August 21, 2009 - November 1, 2011

WFG INVESTMENTS, INC.

CRD#: 22704

SCOTTSDALE, AZ

Past

September 30, 2008 - August 24, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

PEORIA, AZ

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
(2/19/2025)

IAR

Arizona
(4/8/2026)

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 65

Date: 5/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2008

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

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

Leah A. Clancy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leah Autumn Clancy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

ASSOCIATED SECURITIES CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2009

Series 63

Date: 2/7/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2008

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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