CW
Colleen E. Wallace
CETERA INVESTMENT ADVISERS LLC
EUGENE, OR 97401
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CRD#: 6287248
CW
Professional summary
Colleen Elizabeth Wallace is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA WEALTH SERVICES, LLC located in Eugene, Oregon.
Colleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Colleen has worked at 4 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) Osborne & Associates, LLC~1200 Executive Pkwy, Sutie 310~Eugene~OR~97401~Accounting/Bookkeeping (No Tax Preparation)~Accountant/Bookkeeper~1/1/2014~120hrs~6hrs~CPA in charge of tax division 2) CorLux Financial~580 Valley River Dr. Suite 270~Eugene~OR~97401~Other~Owner~1/15/2018~128hrs~128hrs~Owner - provides tax services and financial planning, investment and insurance services to clients. Administrative duties for the company as well. 3) JONES & ROTH FINANCIAL ADVISORS LLC POSITION: Financial Advisor NATURE: Provide financial advising services to clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2022 ADDRESS: 260 Country Club Road, Suite 100, Eugene OR 97401, United States DESCRIPTION: Provide financial advising services to clients, develop financial plans, meet with clients, assist in investment strategy development, and contribute to growth of firm through client acquisition. 4) COLLEEN WALLACE, LLC POSITION: OWNER NATURE: LLC SETUP IN ORDER TO HAVE A SEPARATE BUSINESS ACCOUNT THROUGH MY CREDIT UNION. USED FOR TRACKING BUSINESS INCOME & EXPENSES RELATED TO MY JONES & ROTH FINANCIAL SERVICES (ALREADY DISCLOSED) AND KEEP BOOKS SEPARATE FROM PERSONAL FUNDS. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2023 ADDRESS: 2867 TOMAHAWK LANE, EUGENE OR 97401, United States DESCRIPTION: SOLE OWNER OF THIS LLC. IT IS A DISREGARDED ENTITY.LLC SETUP IN ORDER TO HAVE A SEPARATE BUSINESS ACCOUNT THROUGH MY CREDIT UNION. USED FOR TRACKING BUSINESS EXPENSES RELATED TO MY JONES & ROTH FINANCIAL SERVICES (ALREADY DISCLOSED) AND KEEP BOOKS SEPARATE FROM PERSONAL FUNDS.?
CRS (Client Relationship Summary) - RIA
Click below to view Colleen Elizabeth Wallace'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 260 Country Club Rd. Ste 100, Eugene, OR 97401RIA
CRD#: 105644
EUGENE, OR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 260 Country Club Rd. Ste 100, Eugene, OR 97401BD
CRD#: 13572
Eugene, OR
Past
March 11, 2015 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Eugene, OR
Past
July 17, 2014 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Eugene, OR
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
Alaska(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Michigan(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
IAR
Oregon(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
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.
