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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)28 years in industry

GARY HOLLIS SCHWARTZ

Advisor at CETERA INVESTMENT ADVISERS LLC

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:50bc114e-13a8-e3ad-6da5-3382625da101

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 6, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S66
First exam: Jul 24, 1998
First registration: Oct 6, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 810750

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 10, 2023	n/a	yes	MINNEAPOLIS, MN	Current employment
CRI SECURITIES, LLC	Former SEC adviser	Jan 28, 2014	Oct 28, 2021	no	MINNEAPOLIS, MN	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 28, 2014	Aug 10, 2023	no	MINNEAPOLIS, MN\|ST. PAUL, MN	Previous registration
WADDELL & REED	Former SEC adviser	Nov 20, 2012	Feb 5, 2013	no	SAVAGE, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 6, 2006	Nov 15, 2012	no	Minneapolis, MN\|EDINA, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
CRI SECURITIES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Oct 28, 2021	Jan 28, 2014	-2,830	Bulk transfer	Other
WADDELL & REED	CRI SECURITIES, LLC	Feb 5, 2013	Jan 28, 2014	357	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WADDELL & REED	Nov 15, 2012	Nov 20, 2012	5	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 28, 2014 to Aug 10, 2023factForm ADV
→ CRI SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 28, 2014 to Oct 28, 2021factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Nov 20, 2012 to Feb 5, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 6, 2006 to Nov 15, 2012factForm ADV

Dated events

No dated event names this entity yet.