EF
Eric J. Frieler
CETERA INVESTMENT ADVISERS LLC
ST CLOUD, MN 56301
Some features on this profile are disabled
CRD#: 7174234
EF
Professional summary
Eric James Frieler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Eric has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Eric James Frieler'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
January 7, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301RIA
CRD#: 105644
ST CLOUD, MN
Current
January 7, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Past
November 22, 2019 - October 14, 2020
EDWARD JONES
RIA
CRD#: 250
ST CLOUD, MN
Past
October 31, 2019 - October 14, 2020
EDWARD JONES
BD
CRD#: 250
ST CLOUD, MN
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(1/7/2021)
RR
Alaska(1/7/2021)
RR
Arizona(1/7/2021)
RR
Arkansas(1/7/2021)
RR
California(1/7/2021)
RR
Colorado(1/7/2021)
RR
Connecticut(1/7/2021)
RR
Delaware(1/7/2021)
RR
District of Columbia(1/7/2021)
RR
Florida(1/7/2021)
RR
Georgia(1/7/2021)
RR
Hawaii(1/7/2021)
RR
Idaho(1/7/2021)
RR
Illinois(1/7/2021)
RR
Indiana(1/7/2021)
RR
Iowa(1/7/2021)
RR
Kansas(1/7/2021)
RR
Kentucky(1/7/2021)
RR
Louisiana(1/7/2021)
RR
Maine(1/7/2021)
RR
Maryland(1/7/2021)
RR
Massachusetts(1/7/2021)
RR
Michigan(1/7/2021)
RR
Minnesota(1/7/2021)
IAR
Minnesota(1/7/2021)
RR
Mississippi(1/7/2021)
RR
Missouri(1/7/2021)
RR
Montana(1/7/2021)
RR
Nebraska(1/7/2021)
RR
Nevada(1/7/2021)
RR
New Hampshire(1/7/2021)
RR
New Jersey(1/7/2021)
RR
New Mexico(1/7/2021)
RR
New York(1/7/2021)
RR
North Carolina(1/7/2021)
RR
North Dakota(1/7/2021)
RR
Ohio(1/8/2021)
RR
Oklahoma(1/7/2021)
RR
Oregon(1/7/2021)
RR
Pennsylvania(1/7/2021)
RR
Rhode Island(1/7/2021)
RR
South Carolina(1/7/2021)
RR
South Dakota(1/7/2021)
RR
Tennessee(1/7/2021)
RR
Texas(1/7/2021)
IAR
Texas(1/24/2023)
RR
Utah(1/7/2021)
RR
Vermont(1/7/2021)
RR
Virginia(1/7/2021)
RR
Washington(1/7/2021)
RR
West Virginia(1/7/2021)
RR
Wisconsin(1/7/2021)
RR
Wyoming(1/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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#: 105644St Cloud, MN 56301TRUST BUT VERIFY
Monitor Eric Frieler
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
