NA
Nathan S. Aldrich
CETERA INVESTMENT ADVISERS LLC
WESTBROOK, ME 04092
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CRD#: 7787101
NA
Professional summary
Nathan Sean Aldrich is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westbrook, Maine and CETERA INVESTMENT SERVICES LLC located in Westbrook, Maine.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Nathan has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Sean Aldrich'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
March 25, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 17 Westbrook Common, Westbrook, ME 04092RIA
CRD#: 105644
WESTBROOK, ME
Current
January 24, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 17 Westbrook Common, Westbrook, ME 04092Office #2: 48 Alfred Road, Sandord, ME 04073Office #3: 45 Portland Rd, Kennebunk, ME 04043Office #4: 1 Pool Street, Biddeford, ME 04005BD
CRD#: 15340
WESTBROOK, ME
Past
August 19, 2024 - February 10, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBROOK, ME
Past
August 11, 2023 - August 14, 2024
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Gorham, ME
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
Florida(1/24/2025)
RR
Maine(1/27/2025)
IAR
Maine(3/25/2025)
RR
Massachusetts(1/24/2025)
RR
New Hampshire(1/24/2025)
RR
South Dakota(8/27/2025)
RR
Vermont(1/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/11/2023
Investment Company Products/Variable Contracts 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#: 105644Westbrook, ME 04092TRUST BUT VERIFY
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