CS
Charles L. Sutton
CETERA INVESTMENT ADVISERS LLC
Omaha, NE
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CRD#: 6018518
CS
Professional summary
Charles Llewellyn Sutton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA WEALTH SERVICES, LLC located in Omaha, Nebraska.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Charles has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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) CO-OP INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2012 ADDRESS: , Omaha NE , United States DESCRIPTION: Agent/Broker 2) R.F. BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2012 ADDRESS: , St. Louis MO , United States DESCRIPTION: Agent/Broker 3) THE GRAND COTTAGE LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/11/2019 ADDRESS: , Leland MI , United States DESCRIPTION: Owner 4) NORTH CENTRAL DI POSITION: Agent/Broker NATURE: Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 20711 Holt Ave #768, Lakeville MN 55044, United States DESCRIPTION: I will utilize North Central DI when a client is looking for disability insurance 5) NAME OF OTHER BUSINESS: PROJECT HARMONY; INVESTMENT RELATED: NO ; ADDRESS: 11949 Q STREET OMAHA, NE 68137; NATURE OF BUSINESS: NON PROFIT; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FUND RAISING EVENT; 6) NAME OF OTHER BUSINESS: LELAND YACHT CLUB; INVESTMENT RELATED: NO ; ADDRESS: 1221 JUNIPER TRAIL TRAVERSE CITY, MI 49654; NATURE OF BUSINESS: NON PROFIT; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ADVISE AS TO THE DIRECTION OF GROWTH FOR THE FOUNDATION AND THE SAILING SCHOOL; 7) NAME OF OTHER BUSINESS: LELAND COUNTRY CLUB; INVESTMENT RELATED: NO; ADDRESS: 184 N 5TH ST, LELAND, MI 49654; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: FOOD & BEVERAGE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENSURE THE FOOD AND BEVERAGE SERVICE IS UP TO STATUS;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Llewellyn Sutton'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 12801 Pierce St #100, Omaha, NE 68144RIA
CRD#: 105644
Omaha, NE
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12801 Pierce Street Suite 300, Omaha, NE 68144BD
CRD#: 13572
Omaha, NE
Past
October 29, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OMAHA, NE
Past
May 7, 2012 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OMAHA, NE
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
Arizona(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Michigan(8/10/2023)
RR
Mississippi(8/10/2023)
RR
Missouri(8/10/2023)
RR
Nebraska(8/10/2023)
IAR
Nebraska(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Oregon(6/20/2025)
RR
South Carolina(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Washington(8/10/2023)
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
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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.
