Philip D. Krauss

CETERA INVESTMENT ADVISERS LLC

WESTHAMPTON, NY

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CRD#: 862992

Professional summary

Philip David Krauss is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westhampton, New York and CETERA WEALTH SERVICES, LLC located in Westhampton, New York.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Philip has worked at 13 firms and has passed the Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip David Krauss'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTHAMPTON, NY

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WESTHAMPTON, NY

Past

August 25, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 28, 2007 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WESTHAMPTON, NY

Past

April 29, 2002 - July 6, 2007

RYAN BECK & CO.

CRD#: 3248

UNIONDALE, NY

Past

March 11, 2002 - May 13, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 4, 2002 - April 4, 2002

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 24, 1991 - November 9, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 21, 1990 - April 29, 1991

MABON, NUGENT & CO.

CRD#: 2617

Past

August 1, 1989 - May 21, 1990

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

December 9, 1987 - August 3, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

September 2, 1987 - November 5, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

March 5, 1985 - September 16, 1987

MATTHEWS & WRIGHT CAPITAL, INC.

CRD#: 10939

Past

March 7, 1979 - September 16, 1987

MATTHEWS & WRIGHT, INC.

CRD#: 7025

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(6/9/2021)

Florida
(6/10/2021)

New Jersey
(6/9/2021)

New Mexico
(6/9/2021)

New York
(6/9/2021)

IAR

New York
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/29/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1979

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	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.

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Firm Stability Insights

Philip D. Krauss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip David Krauss's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

ADVEST, INC.

TUCKER ANTHONY INCORPORATED

MABON, NUGENT & CO.

ALEX. BROWN & SONS INCORPORATED

THOMSON MCKINNON SECURITIES INC.

L. F. ROTHSCHILD & CO. INCORPORATED

MATTHEWS & WRIGHT CAPITAL, INC.

MATTHEWS & WRIGHT, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/1979

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1979

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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