Christian Grundel
CETERA INVESTMENT ADVISERS LLC
NORTH ATTLEBORO, MA 02760
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CRD#: 5541530
Professional summary
Christian Grundel, CFP®, who also goes by Chris A Grundel, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Attleboro, Massachusetts and CETERA ADVISORS LLC located in North Attleboro, Massachusetts.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Christian has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris A Grundel
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) CHARTERED COURSE FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 02/2021, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: DMs AFTER DARK; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: WRITING; START DATE: 07/2021; POSITION/TITLE/RELATIONSHIP: WRITER/PRODUCER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: WRITER OR ROLE PLAYING GAMES MATERIAL, PRODUCER OF PODCAST RELATED TO THEM, FICTION; 3) NAME OF OTHER BUSINESS: WEST WARWICK PUBLIC LIBRARY; INVESTMENT RELATED: NO; ADDRESS: 1043 MAIN ST WEST WARWICK, RI 02893; NATURE OF BUSINESS: BOARD OF TRUSTEES; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS TO DECIDE ON LIBRARY POLICIES; 4) NAME OF OTHER BUSINESS: ARROW WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2022; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, & LONG TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Christian Grundel'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: 2013
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16 Mason Ave Ste 3, North Attleboro, MA 02760RIA
CRD#: 105644
NORTH ATTLEBORO, MA
Current
February 23, 2021 - Present
CETERA ADVISORS LLC
Office #1: 16 Mason Ave Ste 3, North Attleboro, MA 02760BD
CRD#: 10299
North Attleboro, MA
Past
March 2, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
JOHNSTON, RI
Past
November 30, 2016 - February 23, 2021
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
WARWICK, RI
Past
September 12, 2016 - November 30, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
RIA
CRD#: 109238
WARWICK, RI
Past
March 4, 2010 - September 8, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WARWICK, RI
Past
June 18, 2008 - September 8, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WARWICK, RI
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
Connecticut(3/2/2021)
RR
Florida(6/24/2021)
RR
Iowa(3/3/2021)
RR
Massachusetts(3/2/2021)
IAR
Massachusetts(3/21/2024)
RR
Pennsylvania(4/1/2021)
RR
Rhode Island(3/2/2021)
IAR
Rhode Island(3/21/2024)
RR
South Carolina(12/5/2023)
RR
Virginia(10/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2021
General Securities Representative ExaminationGeneral Industry/Product 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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644North Attleboro, MA 02760TRUST BUT VERIFY
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