JW
Jeffrey D. Waller
CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75240
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CRD#: 6449615
JW
Professional summary
Jeffrey Dean Waller, who also goes by Jeff Dean Waller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jeffrey has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Dean Waller
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: 104 SKYLINE CIR ROCKWALL TX 75032 NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/2015 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: VERTICAL ADVANTAGE SOLUTIONS INVESTMENT RELATED: NO ADDRESS: 104 SKYLINE CIR ROCKWALL TX 75032 NATURE OF BUSINESS: TO OFFER CREDIT CARD SERVICES TO LOCAL SMALL BUSINESS OWNERS, IN RETAIL LOCATIONS OR ONLINE. START DATE: 05/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE MERCHANT SERVICES ACCOUNTS, REVIEW MONTHLY STATEMENTS, PROVIDE SUPPORT IF NEEDED. 3. NAME OF OTHER BUSINESS: SUMMIT FINANCIAL GROUP INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: INSURANCE, BENEFITS AND INVESTMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Dean Waller'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
May 22, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5420 Lbj Freeway Ste 1940, Dallas, TX 75240RIA
CRD#: 105644
DALLAS, TX
Current
May 22, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5420 Lbj Freeway Ste 1940, Dallas, TX 75240BD
CRD#: 13572
Dallas, TX
Past
May 17, 2022 - January 27, 2023
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
Health, TX
Past
May 17, 2022 - January 27, 2023
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
March 12, 2019 - March 18, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Rockwall, TX
Past
March 12, 2019 - March 18, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Rockwall, TX
Past
January 15, 2016 - April 10, 2018
EDWARD JONES
RIA
CRD#: 250
GARLAND, TX
Past
September 24, 2015 - April 10, 2018
EDWARD JONES
BD
CRD#: 250
GARLAND, TX
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(8/21/2025)
RR
Colorado(1/2/2025)
RR
Florida(1/9/2025)
RR
Louisiana(1/9/2025)
RR
Maryland(1/9/2025)
RR
Massachusetts(1/9/2025)
RR
Oklahoma(5/22/2024)
RR
Texas(5/22/2024)
IAR
Texas(5/22/2024)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dallas, TX 75240TRUST BUT VERIFY
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