SP
Samuel Perrin
CETERA INVESTMENT ADVISERS LLC
Dubois, PA 15801
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CRD#: 7436025
SP
Professional summary
Samuel Perrin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dubois, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Dubois, Pennsylvania.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Samuel has worked at 2 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: CLYDE FERRARO & CO LLP; INVESTMENT RELATED: NO; ADDRESS: 75 LARSEN DRIVE, DUBOIS, PA 15801; NATURE OF BUSINESS: TAX AND AUDIT COMPLIANCE WORK; START DATE: 09/2007; POSITION/TITLE/RELATIONSHIP: PARTNER / CPA; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: TAX AND AUDIT COMPLIANCE WORK, LIMITED POWER OF ATTORNEY TO SPEAK TO THE IRS ON CLIENT'S BEHALF; 2. NAME OF OTHER BUSINESS: BROCKWAY AREA AMBULANCE SERVICE; INVESTMENT RELATED: NO; ADDRESS: 1147 CHERRY ST, BROCKWAY, PA 15824; NATURE OF BUSINESS: AMBULANCE SERVICE; START DATE: 10/2007; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE CHAIRMAN; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FIRST CONTACT FOR OUR INVESTMENT ADVISOR AT JANNEY MONTGOMERY. TOGETHER WITH JANNEY MONTGOMERY WE DEVELOPED AN INVESTMENT POLICY STATEMENT. PREPARE AN ANNUAL OPERATING BUDGET THAT IS FORMALLY APPROVED BY THE BROAD BOARD; 3. NAME OF OTHER BUSINESS: DUBOIS CENTRAL CATHOLIC INVESTMENT RELATED: NO; ADDRESS: 200 CENTRAL CHRISTIAN RD, DUBOIS, PA 15801; NATURE OF BUSINESS: RELIGIOUS; START DATE: 07/2018; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER / FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT ROLE, HELP OUT WITH THE BUDGET; 4. NAME OF OTHER BUSINESS: BUCKTAIL COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 209 1ST STREET, DUBOIS, PA 15801; NATURE OF BUSINESS: BOY SCOUTS; START DATE: 01/2010; POSITION/TITLE/RELATIONSHIP: AT LARGE BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: CHECK SIGNING CAPABILITIES, NO ACCESS TO CHECKBOOK. REVIEW INVOICES AND SIGN CHECKS. CHECKS REQUIRE TWO SIGNATURES FOR AMOUNTS OVER $500;
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Perrin'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: 75 Larsen Dr., Dubois, PA 15801RIA
CRD#: 105644
Dubois, PA
Current
September 22, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 75 Larsen Dr., Dubois, PA 15801BD
CRD#: 13572
Dubois, PA
Past
January 12, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BROCKWAY, 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(1/12/2022)
IAR
Pennsylvania(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2021
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.
