HC
Holly Clemence
CETERA INVESTMENT ADVISERS LLC
MINNEAPOLIS, MN 55402
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CRD#: 7307146
HC
Professional summary
Holly Clemence, who also goes by Holly Anne Clemence, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minneapolis, Minnesota and CETERA WEALTH SERVICES, LLC located in Blaine, Minnesota.
Holly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Holly has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Holly Anne Clemence
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: WOMEN ENTREPRENEURS OF MINNESOTA INVESTMENT RELATED: NO ADDRESS: MINNEAPOLIS, MN NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 9/2022 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR EMAIL COMMUNICATION FOR THE ORGANIZATION AND TO TAKE MINUTES FOR THE MONTHLY BOARD MEETINGS; 2. NAME OF OTHER BUSINESS: BOX FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 4/2024 POSITION/TITLE/RELATIONSHIP: CLIENT SERVICE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: RESPONSIBILITIES INCLUDE SERVICING CLIENTS AT THE REQUEST OF LEAD ADVISOR, MANAGING THE CALENDAR OF THE LEAD ADVISOR AND COMMUNICATION WITH THE BACK OFFICE ON PAPERWORK/CLIENT APPLICATIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Holly Clemence'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
April 12, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 901 Marquette Ave Suite 2800, Minneapolis, MN 55402Office #2: 10705 Town Square Dr Ste 230, Blaine, MN 55449RIA
CRD#: 105644
MINNEAPOLIS, MN
Current
April 12, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10705 Town Square Dr Ste 230, Blaine, MN 55449Office #2: 901 Marquette Ave Suite 2800, Minneapolis, MN 55402BD
CRD#: 13572
Blaine, MN
Past
June 28, 2023 - March 15, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDINA, MN
Past
February 22, 2021 - April 3, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MINNEAPOLIS, MN
Past
December 9, 2020 - April 3, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Minnesota(4/12/2024)
IAR
Minnesota(4/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/8/2020
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
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.
