CE
Cole D. Edwards
CETERA INVESTMENT ADVISERS LLC
VALENCIA, CA 91355
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CRD#: 7886182
CE
Professional summary
Cole David Edwards, who also goes by Cole D Edwards, Cole Edwards, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Valencia, California and CETERA WEALTH SERVICES, LLC located in Valencia, California.
Cole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Cole has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cole D Edwards | Cole Edwards
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) COLE EDWARDS, CPA POSITION: Sole Proprietor NATURE: I perform tax preparation, bookkeeping, and consulting services for my clients. Consulting services include tax planning, corporate formation consulting, and business process consulting. I do no offer or provide any attest related services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: 29155 Mission Trial Lane, Valencia CA 91354, United States DESCRIPTION: Meet with clients, Tax preparation ,Bookkeeping, Consulting, Tax Planning 2) PROTIVITI, INC. POSITION: Internal Audit & Financial Advisory Consultant NATURE: My company performs internal audit activities for many different companies, including publicly traded companies. Internal audit activities can range from full internal audit function outsourcing to providing limited assistance on one defined area of the business. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/15/2022 ADDRESS: 2884 Sand Hill Road, Menlo Park CA 94025, United States DESCRIPTION: I assist with the planning and reporting of internal audits my company performs for a variety of clients. I also conduct detailed walkthroughs with stakeholders and perform internal audit testing. Our 3 main types of audit work include BSA/AML audits for national, regional, and small/local banks, credit unions, and other non-bank financial institutions, process audits which include reviews over internal business processes, and Sarbanes Oxley compliance testing to assist external auditors of public companies or private issuers with the control testing piece of their external audit. It is important to note that through the regular course of my job duties, I have access to confidential information, including but not limited to financial reporting data and or draft 10-Q/K reports of public companies prior to their issuance, acquisition/merger information prior to announcement, as applicable, and other key information that may have the ability to impact the stock price of public companies that I work on. I understand that due to the nature of my position, I am aware that I am not permitted to trade equities, and that I agree to stick to mutual funds and ETFs only. 3) CDE FINANCIAL POSITION: Sole Proprietor NATURE: I perform tax preparation, bookkeeping, and consulting services for my clients. Consulting services include tax planning, corporate formation consulting, and business process consulting. I do no offer or provide any attest related services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: 23890 Copper Hill Dr, STE 121, Valencia CA 91354, United States DESCRIPTION: Top 5 responsibilities Meet with clients Tax preparation Bookkeeping Consulting Tax Planning
CRS (Client Relationship Summary) - RIA
Click below to view Cole David Edwards'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: 25128 Avenue Tibbitts #150, Valencia, CA 91355RIA
CRD#: 105644
VALENCIA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 27210 Cranmore Way Unit 301, Valencia, CA 91381BD
CRD#: 13572
Valencia, CA
Past
July 5, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Valencia, CA
Past
May 10, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Valencia, CA
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
California(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/10/2024
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Valencia, CA 91355TRUST BUT VERIFY
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