Edward J. Wiles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Joseph Wiles was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1979. Edward had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2005 - September 10, 2012
CETERA INVESTMENT ADVISERS LLC
March 5, 2004 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
December 20, 2001 - September 10, 2012
CETERA FINANCIAL SPECIALISTS LLC
November 29, 2001 - January 5, 2012
CAPITAL BROKERAGE CORPORATION
June 26, 1997 - August 5, 2005
GE INVESTMENT DISTRIBUTORS, INC
August 30, 1993 - December 19, 2003
GNA DISTRIBUTORS, INC.
January 5, 1989 - December 23, 1999
CAPITAL BROKERAGE CORPORATION
May 10, 1984 - March 9, 1987
KEMPER SALES COMPANY
November 18, 1981 - December 31, 1988
INVESTORS BROKERAGE SERVICES, INC.
August 18, 1980 - October 13, 1988
KEMPER FINANCIAL SERVICES, INC.
October 24, 1979 - July 27, 1980
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
