CL
Carter M. Leach
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, IL 62701
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CRD#: 7922704
CL
Professional summary
Carter Michael Leach, who also goes by Carter Leach, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Illinois and CETERA WEALTH SERVICES, LLC located in Springfield, Illinois.
Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Carter has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carter Leach
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) Eck, Schafer, and Punke, LLP; Wealth Management Coordinator; This is a CPA firm - they offer accounting services to their clients.; No; 1; 0; 02/02/2025; 227 South Seventh Street Springfield IL 62701; I do not currently hold any responsibility under this entity but it is the entity name that I receive compensation for my duties under ESP Wealth Management, LLC. 2) ESP Wealth Management, LLC; Wealth Management Coordinator; This entity provides wealth management services through its financial advisors. This entity provides assistance identifying wealth management needs and objectives that are then acted upon with tax-efficient solutions. Provides investment guidance and products to clients.; Yes; 160; 130; 02/02/2025; 227 South Seventh Street Springfield IL 62701; I provide administrative assistance to financial professionals. This includes creating new accounts, answering phone calls, setting up review meetings, Docupacing paperwork, among other administrative activities.
CRS (Client Relationship Summary) - RIA
Click below to view Carter Michael Leach'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: 227 S 7th St, Springfield, IL 62701RIA
CRD#: 105644
SPRINGFIELD, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 227 South Seventh Street, Springfield, IL 62701BD
CRD#: 13572
SPRINGFIELD, IL
Past
August 14, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Springfield, IL
Past
July 10, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SPRINGFIELD, IL
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
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/10/2025
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
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.
