CM
Carl Mauter-hollenbeck
CETERA INVESTMENT ADVISERS LLC
PARK RIDGE, IL 60068
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CRD#: 7274366
CM
Professional summary
Carl Mauter-hollenbeck, who also goes by Carl J Hollenbeck, Carl Hollenbeck, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Park Ridge, Illinois and CETERA WEALTH SERVICES, LLC located in Park Ridge, Illinois.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Carl has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl J Hollenbeck | Carl Hollenbeck
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) ROZOVICS GROUP LLP POSITION: Partner NATURE: Prepare and review tax returns, as well as provide tax advise. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 1580 N Northwest Hwy, #120, Park Ridge IL 60068, United States DESCRIPTION: I prepare individual and business tax returns, as well as review individual and business returns my staff prepare. I consult with small businesses on tax strategies. 2) CJ HOLLENBECK & ASSOCIATES PROFESSIONAL COMPANY POSITION: Owner NATURE: I own this company, which provides services to Rozovics Group LLP, this company manages clients for Rozovics Group LLP. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2024 ADDRESS: 805 W Touhy, Park Ridge IL 60068, United States DESCRIPTION: I manage the client experience in Rozovics Group LLP. Including fulfillment of their income tax needs. 3) ROZOVICS WEALTH MANAGEMENT LLC POSITION: Advisor NATURE: Wealth management INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 02/29/2024 ADDRESS: 805 W Touhy, Park Ridge IL 60068, United States DESCRIPTION: Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Carl Mauter-hollenbeck'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 805 W Touhy, Park Ridge, IL 60068RIA
CRD#: 105644
PARK RIDGE, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 805 W Touhy, Park Ridge, IL 60068BD
CRD#: 13572
Park Ridge, IL
Past
July 12, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Park Ridge, IL
Past
January 15, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Park Ridge, IL
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(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Michigan(9/5/2025)
RR
Nevada(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/15/2021
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
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.
