AW
Alec J. Weiss
CETERA INVESTMENT ADVISERS LLC
PHILADELPHIA, PA 19103
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CRD#: 5941139
AW
Professional summary
Alec Jacob Weiss, who also goes by Alec J Weiss, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Philadelphia, Pennsylvania.
Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Alec has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alec J Weiss
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: 03/2020 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: W FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 50 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR - PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: LOWER MERION SOCCER CLUB; INVESTMENT RELATED: NO; ADDRESS: P O BOX 360 BRYN MAWR, PA 19010; NATURE OF BUSINESS: YOUTH SOCCER COACH; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: HEAD COACH; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: HEAD SOCCER COACH;
CRS (Client Relationship Summary) - RIA
Click below to view Alec Jacob Weiss'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: 1650 Market St Suite 3600, Philadelphia, PA 19103RIA
CRD#: 105644
PHILADELPHIA, PA
Current
March 26, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1650 Market St Suite 3600, Philadelphia, PA 19103BD
CRD#: 13572
Philadelphia, PA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PHILADELPHIA, PA
Past
March 26, 2020 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
PHILADELPHIA, PA
Past
January 10, 2014 - April 1, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PHILADELPHIA, PA
Past
December 16, 2013 - April 1, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PHILADELPHIA, PA
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
Delaware(8/14/2023)
RR
Florida(3/26/2020)
RR
Maryland(11/1/2021)
RR
Massachusetts(2/18/2022)
RR
Michigan(1/14/2023)
RR
New Jersey(3/26/2020)
RR
New York(12/9/2022)
RR
Pennsylvania(3/26/2020)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(8/28/2024)
RR
Tennessee(4/24/2023)
RR
Texas(3/29/2022)
IAR
Texas(6/29/2023)
RR
Virginia(10/4/2024)
RR
Washington(1/6/2025)
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.
