AG
Adam D. Gooley
CETERA INVESTMENT ADVISERS LLC
ST PAUL, MN 55101
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CRD#: 6328549
AG
Professional summary
Adam David Gooley, who also goes by Adam Gooley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in Saint Paul, Minnesota.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Adam has worked at 8 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Gooley
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Adam David Gooley'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 #1: 400 Robert St N Ste 800, St Paul, MN 55101RIA
CRD#: 105644
ST PAUL, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101BD
CRD#: 13572
Saint Paul, MN
Current
August 14, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101BD
CRD#: 15340
Saint Paul, MN
Current
August 14, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101BD
CRD#: 10358
Saint Paul, MN
Current
August 14, 2023 - Present
CETERA ADVISORS LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101BD
CRD#: 10299
Saint Paul, MN
Past
April 3, 2017 - November 8, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
ST PAUL, MN
Past
April 3, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST PAUL, MN
Past
August 28, 2015 - November 8, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
ST PAUL, MN
Past
July 21, 2015 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST PAUL, MN
Past
November 24, 2014 - April 30, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MINNEAPOLIS, MN
Past
September 16, 2014 - April 30, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MINNEAPOLIS, MN
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(8/16/2023)
RR
Alaska(8/16/2023)
RR
Arizona(8/16/2023)
RR
Arkansas(8/16/2023)
RR
California(8/16/2023)
RR
Colorado(8/16/2023)
RR
Connecticut(8/16/2023)
RR
Delaware(8/16/2023)
RR
District of Columbia(8/16/2023)
RR
Florida(8/16/2023)
RR
Georgia(8/16/2023)
RR
Hawaii(8/16/2023)
RR
Idaho(8/16/2023)
RR
Illinois(8/16/2023)
RR
Indiana(8/16/2023)
RR
Iowa(8/16/2023)
RR
Kansas(8/16/2023)
RR
Kentucky(8/16/2023)
RR
Louisiana(8/16/2023)
RR
Maine(8/16/2023)
RR
Maryland(8/16/2023)
RR
Massachusetts(8/16/2023)
RR
Michigan(8/16/2023)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Mississippi(8/16/2023)
RR
Missouri(8/16/2023)
RR
Montana(8/16/2023)
RR
Nebraska(8/16/2023)
RR
Nevada(8/16/2023)
RR
New Hampshire(8/16/2023)
RR
New Jersey(8/16/2023)
RR
New Mexico(8/16/2023)
RR
New York(8/16/2023)
RR
North Carolina(8/16/2023)
RR
North Dakota(8/16/2023)
RR
Ohio(8/16/2023)
RR
Oklahoma(8/16/2023)
RR
Oregon(8/16/2023)
RR
Pennsylvania(8/16/2023)
RR
Puerto Rico(8/16/2023)
RR
Rhode Island(8/16/2023)
RR
South Carolina(8/16/2023)
RR
South Dakota(8/16/2023)
RR
Tennessee(8/16/2023)
RR
Texas(8/16/2023)
IAR
Texas(9/1/2023)
RR
Utah(8/16/2023)
RR
Vermont(8/16/2023)
RR
Virgin Islands(8/16/2023)
RR
Virginia(8/16/2023)
RR
Washington(8/16/2023)
RR
West Virginia(8/16/2023)
RR
Wisconsin(8/16/2023)
RR
Wyoming(8/16/2023)
Exams
State Security Law Exam
General Industry/Product 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
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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#: 105644St Paul, MN 55101TRUST BUT VERIFY
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