Charles David Appleton, AIF, CFP | Financial Professional | Warrensburg, Missouri | CETERA INVESTMENT ADVISERS LLC

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

Disclosures on record.

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.

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

Credentials

AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial PlannerSince 2019

Years of Experience

15 years registered in the securities industry

Current & Past Employments

Current

CETERA INVESTMENT ADVISERS LLCCurrent·CRD# 105644

RIA

206 S Holden, Warrensburg, MO 64093

March 21, 2024 - Present

CETERA ADVISORS LLCCurrent·CRD# 10299

BD

206 S Holden, Warrensburg, MO 64093

March 13, 2014 - Present

Past

CETERA ADVISORS LLCPast·CRD# 10299

RIA

Greenwood Village, IL

March 13, 2014 - March 21, 2024

WADDELL & REEDPast·CRD# 866

RIA

Independence, MO

October 12, 2011 - March 24, 2014

WADDELL & REEDPast·CRD# 866

BD

Independence, MO

September 12, 2011 - March 24, 2014

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

Current Firm

CI

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2026	Cover Page	Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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: 1246 Vivian Dr 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; PLAYING, PERFORMING, RECORDING MUSIC

Similar Advisors

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

SETAUKET, NY · CRD#

View profile

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

Woodland, CA · CRD#

View profile

SS

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

STATEN ISLAND, NY · CRD#

View profile

AS

Angela Stulley

TTBD, LLC

CRD#

View profile

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

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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

Illinois
(1/4/2019)

RR

Indiana
(1/4/2019)

RR

Iowa
(1/3/2017)

RR

Kansas
(3/13/2014)

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

Montana
(1/2/2026)

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

Virginia
(1/3/2017)

RR

Washington
(3/25/2014)

RR

Wisconsin
(1/3/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.