BS
Buster Shepherd
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80918
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CRD#: 733808
BS
Professional summary
Buster Shepherd is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.
Buster is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Buster has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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 ENTITY: Independent Insurance Agent; Yes; 10 WOODMEN LANE; COLORADOSPRINGS; CO; 80919; Fixed Insurance Sales; Independent Insurance Agent; 3/6/2006; 160; 160; Sales of Fixed Insurance Products; 2. NAME OF ENTITY: Summit Region LLC; No; 10 Woodmen Lane; Colorado Springs; CO; 80919; Summit Region LLC; Owner; 4/15/2019; 12; 165; Summit Region LLC was created for me to serve as Family Care Giver for my disabled son; 3. NAME OF OTHER BUSINESS: FARM LAND; INVESTMENT RELATED: NO; ADDRESS: 4458 W 400N, MADISON, IN 47250; NATURE OF BUSINESS: FARM LAND RENTAL; START DATE: 12/2009; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OWNER/OVERSEE PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Buster Shepherd'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
COLORADO SPRINGS, CO
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 1, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
COLORADO SPRINGS, CO
Past
November 30, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
COLORADO SPRINGS, CO
Past
June 8, 2005 - October 31, 2005
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ANN ARBOR, MI
Past
October 1, 2002 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
March 22, 2001 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
COLORADO SPRINGS, CO
Past
July 7, 1981 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Alaska(6/9/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
IAR
Colorado(6/29/2023)
RR
Florida(6/10/2021)
RR
Idaho(6/9/2021)
RR
Indiana(6/9/2021)
RR
Kansas(6/9/2021)
RR
Minnesota(1/3/2023)
RR
Montana(6/9/2021)
RR
Nebraska(6/9/2021)
RR
New Jersey(1/5/2023)
RR
New Mexico(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Wisconsin(6/9/2021)
RR
Wyoming(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 105644Colorado Springs, CO 80918TRUST BUT VERIFY
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