ZW
Zachary G. Walters
CETERA INVESTMENT ADVISERS LLC
MODESTO, CA 95356
Some features on this profile are disabled
CRD#: 5829425
ZW
Professional summary
Zachary G Walters, who also goes by Zachary Walters, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Modesto, California and CETERA WEALTH SERVICES, LLC located in Modesto, California.
Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Zachary has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Zachary Walters
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: VARIOUS COMPANIES,
INVESTMENT RELATED: NO,
ADDRESS: SAME AS REGISTERED BRANCH,
NATURE OF BUSINESS: INSURANCE,
POSITION/TITLE/RELATIONSHIP: AGENT,
START DATE: 04/03/2012,
APX NUMBER OF HOURS PER WEEK: VARIES,
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES,
BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED GROUP AND INDIVIDUAL ANNUITIES;
2. NAME OF OTHER BUSINESS: DBA CALIFORNIA ASSET MANAGEMENT
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED
NATURE OF BUSINESS: INSURANCE
START DATE: 12/01/2014
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE ;
3. NAME OF OTHER BUSINESS: JZ BOAT & RV STORAGE ;
INVESTMENT RELATED: NO
ADDRESS: 824B KIERNAN AVE, MODESTO CA 95356 ;
NATURE OF BUSINESS: RV & TRAILER STORAGE FACILITY ;
START DATE: 02/2019 ;
POSITION/TITLE/RELATIONSHIP: CO-OWNER
APX NUMBER OF HOURS PER WEEK: 2-3 ;
APX NUMBER OF HOURS DURING TRADING HOURS:2-3 ;
BRIEF DESCRIPTION OF DUTIES: CO-OWNER OF AN AUTOMATED STORAGE FACILITY ;
4. NAME OF OTHER BUSINESS: CAM DIRECTED
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: GROUP RETIREMENT INSURANCE,
START DATE:12/2019,
POSITION/TITLE/RELATIONSHIP: AGENT,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5,
BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE
5. NAME OF OTHER BUSINESS: SOCIETY HUMAN RESOURCES MANAGERD (SHRM);
INVESTMENT RELATED: NO;
ADDRESS: 2972 W SWAIN RD STOCKTON CA 95219;
NATURE OF BUSINESS: HUMAN RESOURCES;
START DATE: 11/2020;
POSITION/TITLE/RELATIONSHIP: DIRECTOR OF MEMBERSHIP;
APX NUMBER OF HOURS PER WEEK: 2;
APX NUMBER OF HOURS DURING TRADING HOURS: 2;
BRIEF DESCRIPTION OF DUTIES: CALL MEMBERS TO ENCOURAGE MEETING ATTENDANCE, ENSURE CONTACT INFORMATION IS CURRENT;
CRS (Client Relationship Summary) - RIA
Click below to view Zachary G Walters'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: 2937 Veneman Ave Ste B200, Modesto, CA 95356RIA
CRD#: 105644
MODESTO, CA
Current
February 18, 2011 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2937 Veneman Ave Ste B200, Modesto, CA 95356BD
CRD#: 13572
Modesto, CA
Past
April 29, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
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
California(4/29/2022)
IAR
California(6/29/2023)
RR
Colorado(8/17/2022)
RR
Florida(11/27/2023)
RR
Maine(8/17/2022)
RR
Minnesota(8/17/2022)
RR
Nevada(8/17/2022)
RR
New Mexico(11/21/2023)
RR
North Carolina(8/17/2022)
RR
North Dakota(8/17/2022)
RR
Oklahoma(8/17/2022)
RR
Pennsylvania(8/17/2022)
RR
South Carolina(8/17/2022)
RR
Tennessee(3/28/2025)
RR
Washington(8/30/2022)
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#: 105644Modesto, CA 95356TRUST BUT VERIFY
Monitor Zachary Walters
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
