NM
Neil Manthe
CETERA INVESTMENT ADVISERS LLC
ST PAUL, MN 55101
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CRD#: 5634588
NM
Professional summary
Neil Manthe, who also goes by Neil Jeffrey Manthe, Neil Manthe, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Neil has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neil Jeffrey Manthe | Neil Manthe
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.
MINNESOTA STATE UNIVERSITY, MANKATO POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/02/2022 ADDRESS: 6417 Penn Ave S., Suite 8, Minneapolis MN 55423, United States DESCRIPTION: I was asked to go through the Customer Experience Certificate Program as part of the executive education suite with Minnesota State University, Mankato. Following the 8 week course they offered me a position to serve on the advisory board to improve the program and provide feedback over a one year term. BESTPREP MBV ADVISORY BOARD POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/11/2022 ADDRESS: 7100 Northland Cir N, Brooklyn Park MN 55428, United States DESCRIPTION: I serve on the advisory board for non-profit BestPrep's Minnesota Business Venture summer business camp. This board aims to make improvements, promote, and execute on summer camps that are geared toward high school students to increase their interest and knowledge in financial literacy and business careers.
CRS (Client Relationship Summary) - RIA
Click below to view Neil Manthe'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 Robert St N Ste 800, St Paul, MN 55101RIA
CRD#: 105644
ST PAUL, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Past
February 27, 2019 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST PAUL, MN
Past
November 26, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST PAUL, MN
Past
February 3, 2010 - March 31, 2011
EDWARD JONES
RIA
CRD#: 250
PANAMA CITY, FL
Past
January 4, 2010 - March 31, 2011
EDWARD JONES
BD
CRD#: 250
PANAMA CITY, FL
Past
March 5, 2009 - August 6, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MINNEAPOLIS, MN
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
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
Exams
State Security Law Exam
General 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
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Paul, MN 55101TRUST BUT VERIFY
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