WM
Wendy L. Miller
CETERA INVESTMENT ADVISERS LLC
MIDLOTHIAN, VA 23113
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CRD#: 6809273
WM
Professional summary
Wendy Lee Miller, who also goes by Wendall Lee Gooden, Wendy Lee Gooden, Wendall Lee Miller, Wendy Lee Miller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midlothian, Virginia and CETERA WEALTH SERVICES, LLC located in Midlothian, Virginia.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Wendy has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendall Lee Gooden | Wendy Lee Gooden | Wendall Lee Miller | Wendy Lee Miller
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. VAM FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/09/2020 ADDRESS: 130 Wylderose Drive, Midlothian VA 23113, United States DESCRIPTION: Firm level fixed insurance. Compensation varies. 2. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Lee Miller'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: 130 Wylderose Dr, Midlothian, VA 23113RIA
CRD#: 105644
MIDLOTHIAN, VA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 130 Wylderose Drive, Midlothian, VA 23113BD
CRD#: 13572
Midlothian, VA
Past
September 24, 2020 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MIDLOTHIAN, VA
Past
March 10, 2020 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MIDLOTHIAN, VA
Past
July 18, 2018 - February 27, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HENRICO, VA
Past
May 29, 2018 - July 20, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RICHMOND, VA
Past
February 9, 2018 - March 22, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RICHMOND, VA
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
Arkansas(3/13/2024)
RR
Delaware(9/12/2024)
RR
Florida(11/20/2024)
RR
Maryland(5/8/2024)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(1/4/2024)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Virginia(8/10/2023)
IAR
Virginia(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2020
General Securities Representative ExaminationGeneral 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
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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#: 105644Midlothian, VA 23113TRUST BUT VERIFY
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