LB
Lindsey E. Boriack
CETERA INVESTMENT ADVISERS LLC
GIDDINGS, TX 78942
Some features on this profile are disabled
CRD#: 5536664
LB
Professional summary
Lindsey Elise Boriack, who also goes by Lindsey Elise Muhlman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Giddings, Texas and CETERA WEALTH SERVICES, LLC located in Giddings, Texas.
Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Lindsey has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsey Elise Muhlman
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) BORIACK CUSTOM DESIGNS, LLC POSITION: Director NATURE: This is my husband's business for retail products and design consulting. I don't get a paycheck from this company and all payments are made to my husband. I am, however, listed on the LLC paperwork as a member. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2021 ADDRESS: 2230 CR 113, Giddings TX 78942, United States DESCRIPTION: Bookkeeping - invoicing, recording payments, tax paperwork, sales tax prep, etc. 2) ALLIANCE WEALTH TEXAS, LLC POSITION: New Accounts Specialist NATURE: Financial Planning and investment company working under Avantax Wealth Management with National FinancialServices offering their products and services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2024 ADDRESS: 321 N Main, Giddings TX 78942, United States DESCRIPTION: I complete new account paperwork and follow the new account process to insure completion and funding. I also handleaccount transfers and changes to Broker/Dealer of record. I assist in the follow-up with new account and change ofbroker paperwork for 529s and insurance and annuity paperwork to insure proper processing and completion. Icomplete most money movements through Avantax's cashiering program. I double check forms for compliance andcompletion. I check that all accounts not in good order are corrected and dealt with, update client addresses across allsystems, and process brokerage alerts. I understand that as a non-licensed individual I am prohibited from completinginvestment applications including 529 applications since those are considered investment accounts for customers unlessthe information is on file such as information from a tax return file. 3) GERSCH WEALTH PARTNERS, LLC POSITION: New Accounts Specialist NATURE: Financial Planning and investment company working under Avantax Wealth Management with National FinancialServices offering their products and services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2024 ADDRESS: 321 N Main, Giddings TX 78942, United States DESCRIPTION: I complete new account paperwork and follow the new account process to insure completion and funding. I also handleaccount transfers and changes to Broker/Dealer of record. I assist in the follow-up with new account and change ofbroker paperwork for 529s and insurance and annuity paperwork to insure proper processing and completion. Icomplete most money movements through Avantax's cashiering program. I double check forms for compliance andcompletion. I check that all accounts not in good order are corrected and dealt with, update client addresses across allsystems, and process brokerage alerts. I understand that as a non-licensed individual I am prohibited from completinginvestment applications including 529 applications since those are considered investment accounts for customers unlessthe information is on file such as information from a tax return file.
CRS (Client Relationship Summary) - RIA
Click below to view Lindsey Elise Boriack'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 321 N Main Street, Giddings, TX 78942RIA
CRD#: 105644
GIDDINGS, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 321 N Main Street, Giddings, TX 78942BD
CRD#: 13572
Giddings, TX
Past
February 1, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Giddings, TX
Past
January 9, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Giddings, TX
Past
July 27, 2010 - March 29, 2012
INVESTORS BROKERAGE OF TEXAS, LTD.
BD
CRD#: 13037
WACO, TX
Past
November 14, 2008 - November 20, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
COLLEGE STATION, TX
Past
November 14, 2008 - November 20, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
COLLEGE STATION, TX
Past
August 8, 2008 - November 25, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOUSTON, TX
Past
July 30, 2008 - November 25, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, TX
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
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2024
General Securities Representative ExaminationGeneral 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
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.
