GS
Gary H. Schwartz
CETERA INVESTMENT ADVISERS LLC
MINNEAPOLIS, MN 55414
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CRD#: 810750
GS
Professional summary
Gary Hollis Schwartz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minneapolis, Minnesota and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Gary has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 1, Series 51 and Series 24 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) BOOK "PRACTICE ON PURPOSE" POSITION: Independent Contractor NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2014 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Independent Contractor 2) SIX STILL STANDING POSITION: Member NATURE: Service Industry INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Member 3) NORTH STAR RESOURCE GROUP INSURANCE BROKERAGE SERVICES POSITION: Officer NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/20/2018 ADDRESS: 2701 University Ave, Minneapolis MN 55414, United States DESCRIPTION: I am a senior leader for our Property and Casualty business. I serve in a supervisory and strategic capacity. I do not meet with clients nor have personal clients. 4) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Gary Hollis Schwartz'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2701 University Ave Se, Minneapolis, MN 55414RIA
CRD#: 105644
MINNEAPOLIS, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
January 28, 2014 - October 28, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNEAPOLIS, MN
Past
January 28, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNEAPOLIS, MN
Past
June 12, 2013 - October 28, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNEAPOLIS, MN
Past
June 12, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNEAPOLIS, MN
Past
November 20, 2012 - February 5, 2013
WADDELL & REED
RIA
CRD#: 866
BLOOMINGTON, MN
Past
November 16, 2012 - February 5, 2013
WADDELL & REED
BD
CRD#: 866
BLOOMINGTON, MN
Past
October 6, 2006 - November 15, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BLOOMINGTON, MN
Past
November 13, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 13, 2002 - November 15, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BLOOMINGTON, MN
Past
April 10, 1986 - October 1, 2002
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
August 6, 1975 - April 16, 1977
NORTH STAR EQUITIES COMPANY
BD
CRD#: 4241
Past
August 6, 1975 - April 7, 1986
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2797
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(8/10/2023)
IAR
Minnesota(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/31/1975
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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#: 105644Minneapolis, MN 55414TRUST BUT VERIFY
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