VB
Vincent Buttaro
CETERA INVESTMENT ADVISERS LLC
TOPEKA, KS
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CRD#: 6156731
VB
Professional summary
Vincent Buttaro II, who also goes by VIncent Buttaro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Topeka, Kansas and CETERA INVESTMENT SERVICES LLC located in Topeka, Kansas.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Vincent has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vincent Buttaro
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.
AE WEALTH MANAGEMENT, LLC; INVESTMENT RELATED: YES; 2950 SW MCCLURE RD, TOPEKA, KS 66614; RIA; DIRECTOR OF SUPERVISION; 11/2022; APPROX 160 HRS/MO; APPROX 130 HRS/MO DURING SECURITY TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Buttaro II'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
November 18, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TOPEKA, KS
Current
November 15, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 6921 Sw 33rd St, Topeka, KS 66614BD
CRD#: 15340
Topeka, KS
Current
November 15, 2024 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
TOPEKA, KS
Current
November 15, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
TOPEKA, KS
Current
November 15, 2024 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
TOPEKA, KS
Past
November 8, 2022 - November 18, 2024
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Topeka, KS
Past
November 7, 2022 - November 18, 2024
AE FINANCIAL SERVICES, LLC
BD
CRD#: 298608
Topeka, KS
Past
April 7, 2014 - November 2, 2022
EDWARD JONES
RIA
CRD#: 250
TEMPE, AZ
Past
January 1, 2014 - November 2, 2022
EDWARD JONES
BD
CRD#: 250
TEMPE, AZ
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(11/18/2024)
RR
Alaska(11/18/2024)
RR
Arizona(11/26/2024)
RR
Arkansas(11/27/2024)
RR
California(11/15/2024)
RR
Colorado(11/19/2024)
RR
Connecticut(11/18/2024)
RR
Delaware(12/6/2024)
RR
District of Columbia(11/20/2024)
RR
Florida(11/18/2024)
RR
Georgia(12/23/2024)
RR
Hawaii(12/24/2024)
RR
Idaho(11/18/2024)
RR
Illinois(11/19/2024)
RR
Indiana(11/18/2024)
RR
Iowa(11/18/2024)
RR
Kansas(11/18/2024)
IAR
Kansas(11/18/2024)
RR
Kentucky(12/20/2024)
RR
Louisiana(12/13/2024)
RR
Maine(11/18/2024)
RR
Massachusetts(2/26/2025)
RR
Michigan(11/19/2024)
RR
Minnesota(11/18/2024)
RR
Mississippi(11/20/2024)
RR
Missouri(11/18/2024)
RR
Montana(11/19/2024)
RR
Nebraska(11/18/2024)
RR
Nevada(11/19/2024)
RR
New Hampshire(11/20/2024)
RR
New Jersey(11/18/2024)
RR
New Mexico(11/19/2024)
RR
New York(11/19/2024)
RR
North Carolina(11/18/2024)
RR
North Dakota(11/19/2024)
RR
Ohio(11/18/2024)
RR
Oklahoma(11/19/2024)
RR
Oregon(4/2/2025)
RR
Pennsylvania(11/21/2024)
RR
Puerto Rico(12/4/2024)
RR
Rhode Island(11/20/2024)
RR
South Carolina(11/19/2024)
RR
South Dakota(11/18/2024)
RR
Tennessee(11/18/2024)
RR
Texas(11/17/2024)
IAR
Texas(12/3/2024)
RR
Utah(11/15/2024)
RR
Vermont(11/18/2024)
RR
Virgin Islands(11/22/2024)
RR
Virginia(11/22/2024)
RR
Washington(11/18/2024)
RR
West Virginia(11/18/2024)
RR
Wisconsin(1/3/2025)
RR
Wyoming(11/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
