Charles A. Mott
CETERA INVESTMENT ADVISERS
LATHAM, NY 12110
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CRD#: 7212979
Professional summary
Charles Andrew Mott, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Latham, New York and CETERA INVESTMENT SERVICES LLC located in Latham, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Charles has worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Andrew Mott'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®
CFP®
Start date: 2022
Experience
Current
April 29, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 19 British American Blvd East, Latham, NY 12110RIA
CRD#: 105644
LATHAM, NY
Current
April 29, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 19 British American Blvd East, Latham, NY 12110BD
CRD#: 15340
LATHAM, NY
Past
May 26, 2020 - May 7, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Albany, NY
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
California(4/29/2026)
RR
Connecticut(4/29/2026)
RR
Delaware(4/29/2026)
RR
Florida(4/29/2026)
RR
Illinois(4/29/2026)
RR
Indiana(4/29/2026)
RR
Maryland(4/29/2026)
RR
Massachusetts(4/29/2026)
RR
Michigan(4/29/2026)
RR
New Hampshire(4/29/2026)
RR
New Jersey(4/29/2026)
RR
New York(4/29/2026)
IAR
New York(4/29/2026)
RR
North Carolina(4/29/2026)
RR
Ohio(4/30/2026)
RR
Pennsylvania(4/29/2026)
RR
Tennessee(4/29/2026)
RR
Texas(4/29/2026)
RR
Vermont(4/29/2026)
RR
Virginia(4/29/2026)
RR
Washington(4/29/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/26/2020
Investment Company Products/Variable Contracts 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)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 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
