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CG

Carol W. Galpeer

CETERA INVESTMENT ADVISERS LLC
NORWALK, CT
Some features on this profile are disabled
CRD#: 839249
CG

Professional summary

Carol W Galpeer, who also goes by Carol Wagner, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Norwalk, Connecticut and CETERA ADVISORS LLC located in Norwalk, Connecticut.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Carol has worked at 6 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carol Wagner

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol W Galpeer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NORWALK, CT
Current

October 3, 2016 - Present

CETERA ADVISORS LLC

BD
CRD#: 10299
Norwalk, CT
Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past

January 9, 2008 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
NORWALK, CT
Past

January 9, 2008 - October 3, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NORWALK, CT
Past

February 10, 1992 - January 14, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
STAMFORD, CT
Past

October 3, 1988 - January 14, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
STAMFORD, CT
Past

February 15, 1988 - October 17, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 1, 1977 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
Connecticut
(10/3/2016)
IAR
Connecticut
(3/21/2024)
RR
Florida
(10/3/2016)
RR
Kansas
(10/3/2016)
RR
New Jersey
(10/3/2016)
RR
New York
(10/3/2016)
RR
Pennsylvania
(4/3/2018)
RR
Tennessee
(1/3/2018)
RR
Texas
(2/1/2024)
IAR
Texas
(3/21/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/12/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 7/27/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 6/18/1977
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Norwalk, CT

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