Aaron S. Mabley

AVANTAX PLANNING PARTNERS

Tucson, AZ

Some features on this profile are disabled

CRD#: 7039662

Professional summary

Aaron S Mabley, CFP®, who also goes by Aaron S Mabley, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Tucson, Arizona and CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Aaron has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron S Mabley

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron S Mabley's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

January 3, 2025 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 501 Park Drive South, Great Falls, MT 59403

RIA

CRD#: 106237

Tucson, AZ

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

RIA

CRD#: 105644

SCHAUMBURG, IL

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 501 Park Drive South, Great Falls, MT 59403

CRD#: 13572

GREAT FALLS, MT

Past

January 10, 2025 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Great Falls, MT

Past

January 2, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

GREAT FALLS, MT

Past

December 3, 2020 - January 17, 2024

BENJAMIN F. EDWARDS & COMPANY, INC.

RIA

CRD#: 146936

Tucson, AZ

Past

September 14, 2020 - January 17, 2024

BENJAMIN F. EDWARDS & COMPANY, INC.

CRD#: 146936

Tucson, AZ

Past

June 15, 2020 - September 15, 2020

MORGAN STANLEY

CRD#: 149777

TUCSON, AZ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(9/5/2025)

Alaska
(9/5/2025)

IAR

Arizona
(1/3/2025)

Arizona
(9/5/2025)

California
(9/5/2025)

Colorado
(9/5/2025)

Florida
(9/5/2025)

Hawaii
(9/5/2025)

Idaho
(9/5/2025)

Kentucky
(9/5/2025)

Louisiana
(9/5/2025)

Maryland
(9/5/2025)

Michigan
(9/5/2025)

Mississippi
(9/5/2025)

Missouri
(9/5/2025)

IAR

Montana
(1/10/2025)

Montana
(9/5/2025)

Nevada
(9/5/2025)

New Mexico
(9/5/2025)

North Carolina
(9/5/2025)

North Dakota
(9/5/2025)

Ohio
(9/5/2025)

Oregon
(9/5/2025)

South Carolina
(9/5/2025)

IAR

Texas
(8/9/2025)

Texas
(9/5/2025)

Utah
(9/5/2025)

Washington
(9/5/2025)

Wisconsin
(9/5/2025)

Wyoming
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/16/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/15/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/25/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Aaron S. Mabley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron S Mabley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

MORGAN STANLEY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2020

Series 7TO

Date: 6/15/2020

SIE

Date: 1/25/2019

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors