BB
Ben M. Bouman
CETERA INVESTMENT ADVISERS LLC
LOS ALAMOS, NM 87544
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CRD#: 5676779
BB
Professional summary
Ben Michael Bouman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Alamos, New Mexico and CETERA ADVISORS LLC located in Los Alamos, New Mexico.
Ben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ben has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START FEBRUARY 2014, 10 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, LONG-TERM CARE AND ANNUITIES. 2. BENEVOLENT AND PROTECTIVE ORDER OF ELKS, NOT INVESTMENT RELATED, 1601 TRINITY DRIVE, LOS ALAMOS, NM 87544, NON-PROFIT CHARITABLE FRATERNAL ORGANIZATION, START 2013, 5 HOURS PER WEEK - NOT DURING TRADING HOURS, OFFICER. 3. BENEVOLENT AND PROTECTIVE ORDER OF ELKS, NOT INVESTMENT RELATED, 1601 TRINITY DRIVE, LOS ALAMOS, NM 87544, NON-PROFIT CHARITABLE FRATERNAL ORGANIZATION, START DECEMBER 2014, 5 HOURS PER WEEK - NOT DURING TRADING HOURS, BACKUP BARTENDER. 4. DBA ALPINE FINANCIAL PARTNERS; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FINANCIAL AND INSURANCE SERVICES; START 5/2015; 40 HOURS/WEEK DURING SECURITIES TRADING HOURS; OWNER/INVESTMENT ADVISOR REPRESENTATIVE. 5. NAME OF OTHER BUSINESS: PAJARITO MOUNTAIN SKI AREA; INVESTMENT RELATED: NO; ADDRESS: 397 CAMP MAY ROAD, LOS ALAMOS, NM 87544; NATURE OF BUSINESS: OUTDOOR RECREATION; START DATE: 12/2016; POSITION/TITLE/RELATIONSHIP: SNOWBOARD INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 5 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TEACH INDIVIDUAL AND GROUP LESSONS.
CRS (Client Relationship Summary) - RIA
Click below to view Ben Michael Bouman'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: 2610 Trinity Dr Ste 10, Los Alamos, NM 87544RIA
CRD#: 105644
LOS ALAMOS, NM
Current
July 24, 2013 - Present
CETERA ADVISORS LLC
Office #1: 2610 Trinity Dr Ste 10, Los Alamos, NM 87544BD
CRD#: 10299
Los Alamos, NM
Past
July 24, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SANTA FE, NM
Past
January 18, 2010 - August 1, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOS ALAMOS, NM
Past
January 1, 2010 - August 1, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
LOS ALAMOS, NM
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(11/23/2022)
RR
Arizona(11/24/2020)
RR
Colorado(7/24/2013)
RR
Massachusetts(8/11/2021)
RR
Minnesota(12/7/2022)
RR
New Jersey(10/29/2021)
RR
New Mexico(7/24/2013)
IAR
New Mexico(3/21/2024)
RR
Oklahoma(4/14/2020)
RR
Oregon(9/18/2024)
RR
Tennessee(6/23/2021)
RR
Texas(3/29/2016)
IAR
Texas(3/21/2024)
RR
Vermont(3/29/2016)
RR
Washington(3/31/2016)
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
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#: 105644Los Alamos, NM 87544TRUST BUT VERIFY
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