AR
Austin Rothstein
CETERA INVESTMENT ADVISERS LLC
MINNEAPOLIS, MN 55414
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CRD#: 7290993
AR
Professional summary
Austin Rothstein is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minneapolis, Minnesota and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Austin has worked at 4 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. NORTH STAR FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/13/2020 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Fixed insurance sales. 2. MIDWEST WEALTH ADVISORS POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/24/2023 ADDRESS: 11040 183rd Circle, Suite A, Elk River MN 55330, United States DESCRIPTION: Doing business as name only - No change to business or operations. 3. NAME OF OTHER BUSINESS: BNI , INVESTMENT RELATED: NO, ADDRESS: 729 MAIN ST NW, ELK RIVER, MN 55330. NATURE OF BUSINESS: NETWORKING, START DATE: 11/2025, POSITION/TITLE/RELATIONSHIP: MEMBER, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF HOURS DURING TRADING HOURS: 3, BRIEF DESCRIPTION OF DUTIES: NETWORKING GROUP WITH OTHER BUSINESS OWNERS:
CRS (Client Relationship Summary) - RIA
Click below to view Austin Rothstein'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2701 University Ave Se, Minneapolis, MN 55414Office #2: 11040 183rd Circle Nw St A, Elk River, MN 55330RIA
CRD#: 105644
MINNEAPOLIS, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238Office #2: 11040 183rd Circle Nw Suite A, Elk River, MN 55330BD
CRD#: 13572
MINNEAPOLIS, MN
Past
April 28, 2021 - October 28, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNEAPOLIS, MN
Past
April 28, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNEAPOLIS, MN
Past
December 17, 2020 - October 28, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNEAPOLIS, MN
Past
December 17, 2020 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNEAPOLIS, 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
Arizona(1/16/2025)
RR
California(1/16/2025)
RR
Connecticut(1/16/2025)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Montana(1/16/2025)
RR
North Carolina(1/16/2025)
RR
North Dakota(1/16/2025)
RR
South Dakota(1/16/2025)
IAR
Texas(8/10/2023)
RR
Texas(1/16/2025)
RR
Wisconsin(1/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2020
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Minneapolis, MN 55414TRUST BUT VERIFY
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