CM
Colt A. Mckelvey
CETERA INVESTMENT ADVISERS LLC
JOHNSTOWN, PA 15901
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CRD#: 7270570
CM
Professional summary
Colt Austin Mckelvey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johnstown, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Johnstown, Pennsylvania.
Colt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Colt has worked at 3 firms and has passed the Series 66, 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. NAME OF OTHER BUSINESS: MCKELVEY LAW OFFICES, LLC INVESTMENT RELATED: NO ADDRESS: 1266 FOREST HILL DRIVE SALIX, PA 15952 NATURE OF BUSINESS: LAW PRACTICE START DATE: 05/2020 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: I RUN A LAW PRACTICE 2. NAME OF OTHER BUSINESS: NOAH'S IGLOO, LLC INVESTMENT RELATED: NO ADDRESS: 1182 FOREST HILLS DRIVE SALIX PA 15952 NATURE OF BUSINESS: REAL ESTATE START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BUY AND SELL REAL ESTATE 3. NAME OF OTHER BUSINESS: ROMAKNOX, LLC INVESTMENT RELATED: NO ADDRESS: 7171 SATELLITE ROAD TITUSVILLE FL 32780 NATURE OF BUSINESS: REAL ESTATE START DATE: 12/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I OWN THE LLC AND MANAGE THE REAL ESTATE UNDER THE LLC 4. NAME OF OTHER BUSINESS: CENTENNIAL FINANCIAL GROUP LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Colt Austin Mckelvey'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
March 28, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 227 Franklin Street Ste 302, Johnstown, PA 15901RIA
CRD#: 105644
JOHNSTOWN, PA
Current
March 28, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 227 Franklin Street Ste 302, Johnstown, PA 15901BD
CRD#: 13572
Johnstown, PA
Past
January 19, 2021 - February 16, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
JOHNSTOWN, PA
Past
December 10, 2020 - February 16, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
JOHNSTOWN, PA
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
Pennsylvania(3/28/2024)
IAR
Pennsylvania(3/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2020
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
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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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Johnstown, PA 15901TRUST BUT VERIFY
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