SC
Simon Cote
CETERA INVESTMENT ADVISERS LLC
PORTSMOUTH, NH 03801
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CRD#: 7815129
SC
Professional summary
Simon Cote is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Portsmouth, New Hampshire and CETERA WEALTH SERVICES, LLC located in Lebanon, New Hampshire.
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Simon has worked at 4 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) TSS WEALTH MANAGEMENT, LLC POSITION: Client Services Associate NATURE: TSS Wealth Management provides advisory services that consist of financial planning, investment, retirement planning, insurance, business consulting, and legacy planning so we can better address the needs of our clients. For us, wealth management is the process of reviewing and coordinating all the moving parts of a client's financial situation into a comprehensive wealth plan to help them with their future goals. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/23/2023 ADDRESS: 19 Morgan Drive, Lebanon NH 03766, United States DESCRIPTION: As a Client Services Associate, I will assist the Investment Advisors in clerical tasks, research, and creating Print Collateral and Presentation materials.My responsibilities will include but are not limited to, communicating with clients through written correspondence, telephone or electronic means,updating and maintaining client accounts in Wealthscape, Redtail, and Envestnet. 2) TSWM ADVISORY GROUP POSITION: Financial Advisor NATURE: Wealth Management Services Investments Retirement services Insurance Business Consulting Legacy Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2023 ADDRESS: 19 Morgan Drive, Lebanon NH 03766, United States DESCRIPTION: My Top five job responsibilities are: Prospecting for new retirement plan clients. Implementing new retirement plans for businesses. Servicing retirement plans for businesses. Administrative duties for all of the above. Assisting Chris Johnson with servicing advisory clients by performing administrative duties.
CRS (Client Relationship Summary) - RIA
Click below to view Simon Cote'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: 75 Congress Street Suite 209, Portsmouth, NH 03801Office #2: 19 Morgan Dr, Lebanon, NH 03766RIA
CRD#: 105644
PORTSMOUTH, NH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 19 Morgan Drive, Lebanon, NH 03766Office #2: 75 Congress Street Ste 204, Portsmouth, NH 03801BD
CRD#: 13572
LEBANON, NH
Past
April 16, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lebanon, NH
Past
February 26, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Portsmouth, NH
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
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
IAR
New Hampshire(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Vermont(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2024
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#: 105644Portsmouth, NH 03801TRUST BUT VERIFY
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