SH
Sarah A. Holmes
CETERA INVESTMENT ADVISERS LLC
MIDLAND, MI 48640
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CRD#: 5552918
SH
Professional summary
Sarah Anne Marie Holmes, who also goes by Sarah Anne Marie Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midland, Michigan and CETERA ADVISORS LLC located in Midland, Michigan.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sarah has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Anne Marie Smith
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. NAME OF OTHER BUSINESS: SMITH & COMPANY FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS RGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: OWNER/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; 2. NAME OF OTHER BUSINESS: HEMLOCK YOUTH BASEBALL AND SOFTBALL; INVESTMENT RELATED: NO; ADDRESS: 1180 N HEMLOCK RD, HEMLOCK, MI 48626; NATURE OF BUSINESS: YOUTH BASEBALL AND SOFTBALL PROGRAMS; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MANAGE FINANCES;
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Anne Marie Holmes'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: 2612 Ashman St, Midland, MI 48640RIA
CRD#: 105644
MIDLAND, MI
Current
November 11, 2009 - Present
CETERA ADVISORS LLC
Office #1: 2612 Ashman St, Midland, MI 48640BD
CRD#: 10299
MIDLAND, MI
Past
December 22, 2010 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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(1/16/2020)
RR
Arizona(1/5/2021)
RR
California(7/31/2024)
RR
Colorado(1/16/2020)
RR
Connecticut(1/3/2024)
RR
Florida(1/16/2020)
RR
Georgia(1/16/2020)
RR
Idaho(11/12/2024)
RR
Indiana(1/16/2020)
RR
Kentucky(1/16/2020)
RR
Maryland(6/22/2022)
RR
Michigan(12/20/2010)
IAR
Michigan(3/21/2024)
RR
Montana(1/16/2020)
RR
Nebraska(1/16/2020)
RR
Ohio(1/17/2020)
RR
Pennsylvania(1/16/2020)
RR
Virginia(1/16/2020)
RR
Washington(12/1/2023)
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#: 105644Midland, MI 48640TRUST BUT VERIFY
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