JG
Jesse L. Graff
CETERA INVESTMENT ADVISERS LLC
Kewaunee, WI 54216
Some features on this profile are disabled
CRD#: 7028785
JG
Professional summary
Jesse L Graff is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kewaunee, Wisconsin and CETERA WEALTH SERVICES, LLC located in Kewaunee, Wisconsin.
Jesse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Jesse has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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) J L Graff Enterprises LLC~'NIR'~413 Milwaukee St~Kewaunee~WI~54216~Accounting Services/Tax Preparation~Owner~5/15/2000~60hrs~45hrs~Primarily meet with new or existing clients to review and prepare their personal or business tax filings. Oversee all employees and general management of the business 2) MIXED USE RENTAL BUILDING POSITION: Owner NATURE: Commercial & Residential rental property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2003 ADDRESS: 413 Milwaukee St, Kewaunee WI 54216, DESCRIPTION: Maintain building, collect rent, screen tenants 3) KEWAUNEE COUNTY LAND RENT POSITION: Owner NATURE: Vacant farmland rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2004 ADDRESS: N6694 Valley Rd, Luxemburg WI 54217, DESCRIPTION: Collect rent, maintain property 4) DOOR COUNTY LAND RENT POSITION: Owner NATURE: Vacant farmland INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2004 ADDRESS: N6694 Valley Rd, Luxemburg WI 54217, DESCRIPTION: Collect rent and pay maintenance bills 5) NAME OF OTHER BUSINESS: TMJ LANES INC; INVESTMENT RELATED: NO; ADDRESS: 216 ELLIS ST KEWAUNEE, WI 54216; NATURE OF BUSINESS: BOWLING ALLEY; START DATE: 01/2005; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE FINANCIAL ACTIVITY AND FINANCIAL STATEMENT PRESENTATION. PREPARE PAYROLL, PAYROLL REPORTS AND ANNUAL TAX FILINGS; 6) WESTEN, GRAFF & CO POSITION: Owner NATURE: Westen, Graff & Co is a d/b/a (legal name is J L Graff Enterprises). It prepares income tax returns, provides accounting, payroll, financial advisory / planning and investment management services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 12/01/1999 ADDRESS: 413 Milwaukee St, Kewaunee WI 54216, US; Prepare income tax returns, provide clients with tax, financial and investment advice including tax and financial planning. Perform majority of administrative business tasks such as supervising employees, develop training, capital expenditures etc.
CRS (Client Relationship Summary) - RIA
Click below to view Jesse L Graff'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
September 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 413 Milwaukee St, Kewaunee, WI 54216RIA
CRD#: 105644
Kewaunee, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 413 Milwaukee St, Kewaunee, WI 54216BD
CRD#: 13572
Kewaunee, WI
Past
February 8, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Kewaunee, WI
Past
October 22, 2018 - September 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Kewaunee, 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
Arizona(9/5/2025)
RR
Michigan(9/18/2025)
RR
Nebraska(9/5/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/8/2019
General Securities Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 105644Kewaunee, WI 54216TRUST BUT VERIFY
Monitor Jesse Graff
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
