CP
Clay L. Pilgrim
CETERA INVESTMENT ADVISERS LLC
GAINESVILLE, GA 30501
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CRD#: 7438858
CP
Professional summary
Clay Lee Pilgrim, who also goes by Clay Pilgrim, Clay L Pilgrim, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gainesville, Georgia and CETERA WEALTH SERVICES, LLC located in Gainesville, Georgia.
Clay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Clay has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clay Pilgrim | Clay L Pilgrim
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) GEORGIA SOCIETY OF CPAS POSITION: Treasurer NATURE: The Leadership Council of The Georgia Society of CPAs plays a key role in the leadership and governance of the Society. The members of the Leadership Council comprise approximately one percent of the entire Society membership. The Leadership Council meets twice a year: in the fall and again the following spring. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 06/01/2022 ADDRESS: 5405 Windward Pkwy, Suite 300, Alpharetta GA 30004, United States DESCRIPTION: The Board of Directors shall have general charge and control of the affairs, funds, and property of the Society and shall carry out the purposes of the Society in accordance with these bylaws; but the Board may not alter, amend, or rescind any resolution or motion duly adopted at a meeting of the Society. 2) RUSHTON, LLC POSITION: AUDIT PARTNER NATURE: GOVERNMENT AND NONPROFIT FINANCIAL AUDITS INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/01/2021 ADDRESS: 726 SOUTH ENOTA DRIVE, SUITE A, Gainesville GA 30501, United States DESCRIPTION: I SERVE AS AN AUDIT PARTNER. I MANAGE THE FIRM'S AUDIT EMPLOYEES AND AUDIT CLIENTS IN OUR GOVERNMENT/NONPROFIT AUDIT DIVISION. . 4) THE RESERVE AT MOSSY CREEK PROPERTY OWNERS ASSOCIATION, INC. POSITION: Treasurer (CFO per GA SOS) NATURE: I serve as the Treasurer for the POA for the community in which I live. The registration at the Georgia Secretary of State has not yet been updated to reflect the newly elected officers, but will be within the next few months. Deposits include membership dues each January and 15-20 checks per year for landscape maintenance.? INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: PO Box 82, Cleveland GA 30528, United States DESCRIPTION: I make all deposits and write all checks. I am also a signer on the bank account. Internally, we require two signatures on all checks, which are typically me and our President. Our Secretary is also a signer on the account, but only signs if necessary. 5) Rushton Wealth Management, LLC; Member; Entity used to advertise investment business with Avantax.; IR; 0; 11/01/2014; 726 S Enota Dr Gainesville GA 30501; Currently no activity. Once licensed, I will refer clients for wealth management.
CRS (Client Relationship Summary) - RIA
Click below to view Clay Lee Pilgrim'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: 726 South Enota Drive Suite A, Gainesville, GA 30501RIA
CRD#: 105644
GAINESVILLE, GA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 726 S Enota Dr Suite A, Gainesville, GA 30501BD
CRD#: 13572
GAINESVILLE, GA
Past
February 24, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Gainesville, GA
Past
January 19, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
GAINESVILLE, GA
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
Georgia(9/5/2025)
IAR
Georgia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/19/2022
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Gainesville, GA 30501TRUST BUT VERIFY
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