AH
Anastasia M. Holmes
CETERA INVESTMENT ADVISERS LLC
Maplewood, MN
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CRD#: 7854478
AH
Professional summary
Anastasia Marguerite Holmes, who also goes by Anastasia Marguerite Simpson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Maplewood, Minnesota and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Anastasia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Anastasia has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anastasia Marguerite Simpson
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: North Star Resource Group Investment related: Yes Address: Same as registered location Nature of business: Financial Services Marketing Name Start Date: 02/2025 Apx number of hours per week:40 Apx number of hours during trading hours:40 Position/title/relationship: Registered Admin Brief description of duties: Advisor Practice Support for Securities and Planning Business 2. Name of other business: Presbyterian Homes and Services- Boutwell's Landing Investment related: No Address: 5600 Norwich Pwky Oak Park Heights, MN 55082 Nature of business: Nursing Home/Assisted Living Start Date: 06/2019 Apx number of hours per week: 4 Apx number of hours during trading hours: 0 Position/title/relationship: Cook/Server Brief description of duties: Prepping and serving meals
CRS (Client Relationship Summary) - RIA
Click below to view Anastasia Marguerite Holmes'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
February 10, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2701 University Avenue Se, Minneapolis, MN 55414-3238RIA
CRD#: 105644
Maplewood, MN
Current
February 10, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
April 1, 2024 - February 19, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
February 20, 2024 - February 19, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Minnesota(2/10/2025)
IAR
Minnesota(2/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/20/2024
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
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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.
