AS
Alan E. Simpson
CETERA INVESTMENT ADVISERS LLC
El Paso, TX 79935
Some features on this profile are disabled
CRD#: 5761051
AS
Professional summary
Alan Ernest Simpson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Paso, Texas and CETERA WEALTH SERVICES, LLC located in El Paso, Texas.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alan has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 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.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: RETIREMENT ADVISORS OF THE SOUTHWEST INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES START DATE: 09/2009 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS 3.NAME OF OTHER BUSINESS: EL PASO CATHOLIC DIOCESE INVESTMENT RELATED: NO ADDRESS: 499 ST. MATTHEWS ST., EL PASO, TX 79907 NATURE OF BUSINESS: EL PASO CATHOLIC DIOCESE START DATE: 02/2009 POSITION/TITLE/RELATIONSHIP: CONSTRUCTION COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 1 / MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 1 / MONTH BRIEF DESCRIPTION OF DUTIES: CONSTRUCTION COMMITTEE MEMBER 4.NAME OF OTHER BUSINESS: EL PASO RESTAURANT ASSOCIATION INVESTMENT RELATED: NO NATURE OF BUSINESS: 501(C)(3) NON-PROFIT ASSOCIATION SUPPORTING RESTAURANTS START DATE: 09/1990 POSITION/TITLE/RELATIONSHIP: NON-VOTING MEMBER APX NUMBER OF HOURS PER WEEK: 1 HOUR EVERY OTHER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 1 HOUR EVERY OTHER MONTH BRIEF DESCRIPTION OF DUTIES: NON-VOTING MEMBER AND MENTOR YOUNGER MEMBERS OF THE BOARD 5.NAME OF OTHER BUSINESS: TEXAS RESTAURANT ASSOCIATION INVESTMENT RELATED: NO ADDRESS: PO BOX 1429, AUSTIN, TX 78767 NATURE OF BUSINESS: 501(C)(3) NON-PROFIT ASSOCIATION SUPPORTING RESTAURANTS START DATE: 07/1993 POSITION/TITLE/RELATIONSHIP: HONORARY BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 DAYS EVERY 6 MONTHS APX NUMBER OF HOURS DURING TRADING HOURS: 2 DAYS EVERY 6 MONTHS BRIEF DESCRIPTION OF DUTIES: HONORARY BOARD MEMBER 6. NAME OF OTHER BUSINESS: M. SUE KURITA JUDICIAL CAMPAIGN; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CAMPAIGN; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: CAMPAIGN TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUBMIT CAMPAIGN REPORTS AS REQUIRED BY LAW WHEN DUE; 7. NAME OF OTHER BUSINESS: HOPE BORDER INSTITUTE; INVESTMENT RELATED: NO; ADDRESS: 8330 PARK HAVEN AVE, EL PASO, TX 79902; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW MONTHLY FINANCIAL STATEMENTS, PRESENT FINANCIAL REPORTS TO BOARD, PREPARE, PRESENT ANNUAL BUDGET;
CRS (Client Relationship Summary) - RIA
Click below to view Alan Ernest Simpson'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2150 Trawood Drive Suite A 200, El Paso, TX 79935RIA
CRD#: 105644
El Paso, TX
Current
August 7, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2150 Trawood Drive Suite A 200, El Paso, TX 79935BD
CRD#: 13572
El Paso, TX
Past
August 21, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 11, 2010 - September 5, 2017
GREAT NATION INVESTMENT CORPORATION
BD
CRD#: 19981
EL PASO, TX
Past
March 4, 2010 - August 9, 2010
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
HUSTON, 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
New Mexico(8/25/2017)
RR
Texas(8/21/2017)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 105644El Paso, TX 79935TRUST BUT VERIFY
Monitor Alan Simpson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
