TW
Timothy R. Windler
CETERA INVESTMENT ADVISERS LLC
BROOKFIELD, WI 53045
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CRD#: 6589068
TW
Professional summary
Timothy Robert Windler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brookfield, Wisconsin and CETERA ADVISORS LLC located in Brookfield, Wisconsin.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Timothy has worked at 6 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.) Wisconsin Basketball Officials Association; Referee & Board Member; Other; Start date 09/01/2019; 12 hours per month. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; 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 LIFE AND FIXED ANNUITIES; 3) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION;
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Robert Windler'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: 675 N Barker Rd Ste 110, Brookfield, WI 53045RIA
CRD#: 105644
BROOKFIELD, WI
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 675 N Barker Rd, Ste 110, Brookfield, WI 53045BD
CRD#: 10299
Brookfield, WI
Past
August 27, 2019 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
BROOKFIELD, WI
Past
August 27, 2019 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Brookfield, WI
Past
May 9, 2019 - August 27, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OAK CREEK, WI
Past
May 9, 2019 - August 27, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAK CREEK, WI
Past
April 4, 2016 - May 13, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
OAK CREEK, WI
Past
February 11, 2016 - May 13, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OAK CREEK, WI
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(6/28/2024)
RR
Arizona(9/8/2022)
RR
California(1/2/2025)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(1/2/2025)
RR
Illinois(9/8/2022)
RR
Michigan(1/2/2025)
RR
Minnesota(9/8/2022)
RR
Nebraska(9/8/2022)
RR
North Carolina(1/3/2025)
RR
Oklahoma(9/8/2022)
RR
Texas(6/28/2024)
IAR
Texas(6/28/2024)
IAR
Wisconsin(11/12/2020)
RR
Wisconsin(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
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#: 105644Brookfield, WI 53045TRUST BUT VERIFY
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