ES
Erwin O. Sprunk
CETERA INVESTMENT ADVISERS
SCHAUMBURG, IL 60173
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CRD#: 8134476
ES
Erwin Otto SprunkCETERA INVESTMENT ADVISERS
Professional summary
Erwin Otto Sprunk, who also goes by Erwin O Sprunk, Erwin Sprunk, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Daytona Beach, Florida.
Erwin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Erwin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Erwin O Sprunk | Erwin Sprunk
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)HOMES OF AMERICA POSITION: Sales Associate NATURE: Homes of a America offers the following services:Property Management Mortgages Vacation Rentals Buy a Business Relocation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 1420 Celebration Blvd Suite 200, Celebration FL 34747, United States DESCRIPTION: Prospect for clients through networking and referrals Assist buyers with property searches, showings, and offer negotiations Market listings using photos, virtual tours, and open houses Stay updated on market trends, pricing, and local regulations Manage paperwork, contracts, and deadlines to close deals smoothly I am NOT approving mortgages 2) NASA FEDERAL CREDIT UNION POSITION: Credit Risk Oversight Committee Member NATURE: The Credit Risk Oversight Committee monitors the risks associated with the lending and borrowing, ensuring the organization's credit policies are followed. It reviews loan portfolios, assesses potential defaults, sets risk limits, and makes sure the institution stays financially sound while complying with regulations. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 02/05/2025 ADDRESS: 500 Prince Georges Blvd, Bowie MD 20774, United States DESCRIPTION: Set credit policies and risk thresholds Review and monitor loan portfolios for potential defaults Ensure compliance with regulatory requirements Review large or high risk loans As committee member I have no voting rights The NFCU management team manages the risk on these loans as produces the reports for the board and committee to review. I am new to the committee and provide oversight into their process. I will be receiving training on what more I can provide in this role. Provide strategic guidance to manage credit exposure and maintain financial stability Again, I am new to this role and more training will be provided. I was selected to participate on this committee by the board chair based on my engineering project and risk management experience from an engineering perspective. 3) NAME OF OTHER BUSINESS: Wealthspring Financial Partners INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2026, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Erwin Otto Sprunk'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
January 16, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Daytona Beach, FL
Past
July 28, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
Florida(9/5/2025)
IAR
Florida(1/29/2026)
RR
Maryland(9/5/2025)
IAR
Maryland(1/16/2026)
RR
Rhode Island(6/30/2026)
IAR
South Carolina(1/16/2026)
RR
South Carolina(1/22/2026)
RR
Virginia(6/30/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/26/2025
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)Loading...
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 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Schaumburg, IL 60173TRUST BUT VERIFY
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