SC
Stuart A. Cavness
CETERA INVESTMENT ADVISERS LLC
CHEHALIS, WA 98532
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CRD#: 6290766
SC
Professional summary
Stuart Andrew Cavness is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chehalis, Washington and CETERA ADVISORS LLC located in Seattle, Washington.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stuart 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.) The Cavness Group; Financial Advisor; DBA; start date 06/20/2016; 160 hours per month. 2.) Lewis County Young Professionals; Board Member; Non-Profit Organization; start date 02/23/2016; 4 hours per month. 3.) Rental Property; Owner; Real Estate; Start date: 9/27/2019; 40 hours per month. 4.) LEWIS COUNTY ECONOMIC DEVELOPMENT COUNCIL; TREASURER; NON PROFIT ORGANIZATION; START DATE 01/01/2021; 8 HOURS PER MONTH; 5) NAME OF OTHER BUSINESS: SYC FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 1807 EAST HAMLIN ST., SEATTLE, WA 98112, NATURE OF BUSINESS: NON-PROFIT, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: CHECK RECONCILIATION, OVERSEES ENDOWMENT & CHECKING ACCOUNTS.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Andrew Cavness'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 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1611 N National Avenue Suite 9, Chehalis, WA 98532Office #2: 4005 20th Ave W Suite 220, Seattle, WA 98199RIA
CRD#: 105644
CHEHALIS, WA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 4005 20th Ave W Suite 220, Seattle, WA 98199Office #2: 1611 N National Ave Suite 9, Chehalis, WA 98532BD
CRD#: 10299
Seattle, WA
Past
April 26, 2016 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CHEHALIS, WA
Past
June 4, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Chehalis, WA
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(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Minnesota(9/8/2022)
RR
New York(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oregon(9/8/2022)
RR
Virginia(9/8/2022)
IAR
Washington(11/12/2020)
RR
Washington(9/8/2022)
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
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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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Chehalis, WA 98532TRUST BUT VERIFY
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