Randy J. Ward
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80919
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CRD#: 6254437
Professional summary
Randy James Ward, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Randy has worked at 3 firms and has passed the Series 66, 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.FIXED INSURANCE POSITION: AGENT/BROKER NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2017 ADDRESS: MILLHAVEN, COLORADO SPRINGS CO 80908, UNITED STATES DESCRIPTION: COMPENSATION FROM PAST LIFE INSURANCE SALES; 2.EVEROAK WEALTH CO., LLC POSITION: PARTNER NATURE: DBA INVESTMENT RELATED: YES NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 07/01/2020 ADDRESS: 7222 COMMERCE CENTER DR., SUITE 108, COLORADO SPRINGS CO 80919, UNITED STATES DESCRIPTION: EVEROAK WEALTH CO., LLC OPERATES AS A BRANCH OFFICE FOR FINANCIAL SERVICES; 3.ASH BROKERAGE POSITION: AGENT/BROKER NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2020 ADDRESS: 888 S. HARRISON ST., SUITE 900, FORT WAYNE IN 46802, UNITED STATES DESCRIPTION: FIXED INSURANCE SALES BROKERAGE TO COMPARE ALL FIXED INSURANCE OPTIONS WHEN NEEDED FOR CLIENTS. 4. NAME OF OTHER BUSINESS: EVEROAK FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FOUNDATION, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP BOARD MEMEBER:, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF FOUNDATION ASSETS AND DETERMINING WHAT CAUSES/ORGANIZATIONS THE FOUNDATION DONATES TO; 5. NAME OF OTHER BUSINESS: EMMANNE MINISTRIES; INVESTMENT RELATED: NO; ADDRESS: 6834 S UNIVERSITY BLVD #158 CENTENNIAL, CO 80122; NATURE OF BUSINESS: NON PROFIT; START DATE: 2/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF MANAGEMENT AND OPERATIONS OF THE ORGANIZATION;
CRS (Client Relationship Summary) - RIA
Click below to view Randy James Ward'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: 2016
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7222 Commerce Ctr Dr Ste 108, Colorado Springs, CO 80919RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7222 Commerce Center Dr Suite 108, Colorado Springs, CO 80919BD
CRD#: 13572
Colorado Springs, CO
Past
October 23, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Colorado Springs, CO
Past
October 9, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Colorado Springs, CO
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(8/10/2023)
RR
Alaska(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
IAR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Idaho(8/10/2023)
RR
Illinois(6/24/2025)
RR
Indiana(8/10/2023)
RR
Kansas(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(9/5/2023)
RR
Missouri(8/10/2023)
RR
Nebraska(8/10/2023)
RR
Nevada(4/25/2025)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(1/4/2024)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80919TRUST BUT VERIFY
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