Charles D. Appleton
CETERA INVESTMENT ADVISERS LLC
WARRENSBURG, MO 64093
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CRD#: 5916698
Professional summary
Charles David Appleton, AIF®, CFP®, who also goes by Chad Appleton, Charles Appleton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warrensburg, Missouri and CETERA ADVISORS LLC located in Warrensburg, Missouri.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Charles has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad Appleton | Charles Appleton
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: MURDOCK BANNER FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER/MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START MARCH 2014, 1 HR. PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS, LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE. 3)NAME OF OTHER BUSINESS: TRAVIS GIBSON BAND; INVESTMENT RELATED: NO; ADDRESS: 409 QUAIL TRAIL WARRENSBURG, MO 64093; NATURE OF BUSINESS: COUNTRY BAND; START DATE: 08/2012; POSITION/TITLE/RELATIONSHIP: MUSICIAN/BACKGROUND VOCALS; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: RHYTHM GUITAR AND BACKGROUND VOCALS;
CRS (Client Relationship Summary) - RIA
Click below to view Charles David Appleton'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®
CFP®
Start date: 2019
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 206 S Holden, Warrensburg, MO 64093RIA
CRD#: 105644
WARRENSBURG, MO
Current
March 13, 2014 - Present
CETERA ADVISORS LLC
Office #1: 206 S Holden, Warrensburg, MO 64093BD
CRD#: 10299
Warrensburg, MO
Past
March 13, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
October 12, 2011 - March 24, 2014
WADDELL & REED
RIA
CRD#: 866
INDEPENDENCE, MO
Past
September 12, 2011 - March 24, 2014
WADDELL & REED
BD
CRD#: 866
INDEPENDENCE, MO
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(1/3/2017)
RR
Arizona(1/3/2017)
RR
Arkansas(1/3/2017)
RR
California(1/3/2017)
RR
Colorado(1/3/2017)
RR
Connecticut(1/4/2021)
RR
Florida(1/3/2017)
RR
Georgia(1/3/2017)
RR
Hawaii(1/4/2017)
RR
Idaho(1/3/2017)
RR
Illinois(1/4/2019)
RR
Indiana(1/4/2019)
RR
Iowa(1/3/2017)
RR
Kansas(3/13/2014)
RR
Kentucky(1/3/2017)
RR
Massachusetts(1/3/2017)
RR
Michigan(1/3/2017)
RR
Minnesota(1/3/2017)
RR
Mississippi(1/3/2017)
RR
Missouri(3/13/2014)
IAR
Missouri(3/21/2024)
RR
Nebraska(1/3/2017)
RR
Nevada(1/3/2017)
RR
New Hampshire(5/23/2024)
RR
New Mexico(1/3/2017)
RR
New York(1/3/2017)
RR
North Carolina(1/3/2017)
RR
Ohio(1/3/2017)
RR
Oklahoma(1/3/2017)
RR
Oregon(1/3/2017)
RR
Pennsylvania(1/3/2017)
RR
South Carolina(1/3/2017)
RR
South Dakota(1/3/2017)
RR
Tennessee(1/3/2017)
RR
Texas(1/3/2017)
IAR
Texas(3/21/2024)
RR
Utah(1/2/2024)
RR
Virginia(1/3/2017)
RR
Washington(3/25/2014)
RR
Wisconsin(1/3/2017)
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.
