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Garrett Heine
CETERA INVESTMENT ADVISERS LLC
HARTINGTON, NE 68739
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CRD#: 7477309
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Professional summary
Garrett Heine is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hartington, Nebraska and CETERA WEALTH SERVICES, LLC located in Hartington, Nebraska.
Garrett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Garrett has worked at 4 firms and has passed the Series 65, Series 63, Series 34, Series 3, 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: SECURITY BANK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BANK / FINANCIAL SERVICES; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 6.5; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR FOR SECURITY BANK; 2. NAME OF OTHER BUSINESS: CEDAR CATHOLIC HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 401 S BROADWAY AVE, HARTINGTON, NE 68739; NATURE OF BUSINESS: MENTORSHIP; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: MENTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MENTOR NEW INVESTMENT CLUB THAT SCHOOL IS LOOKING TO IMPLEMENT TO EDUCATE ITS STUDENTS - NO INVESTMENT RELATED ADVICE GIVEN;
CRS (Client Relationship Summary) - RIA
Click below to view Garrett Heine'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
November 25, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 313 S Robinson Ave Suite B, Hartington, NE 68739RIA
CRD#: 105644
HARTINGTON, NE
Current
October 14, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 313 S Robinson Ave Suite B, Hartington, NE 68739BD
CRD#: 13572
HARTINGTON, NE
Past
October 12, 2022 - October 21, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Omaha, NE
Past
March 25, 2022 - May 19, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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(2/26/2025)
RR
Iowa(2/26/2025)
RR
Nebraska(10/14/2024)
IAR
Nebraska(11/25/2024)
RR
South Dakota(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/24/2022
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#: 105644Hartington, NE 68739TRUST BUT VERIFY
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