Fond Du Lac, WI N. Country Lane Office
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Cetera
Institution
Firm-wide stats for Cetera
About
Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.
The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.
Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.
Based on Cetera
Expertise
Based on Cetera
Location
249 N. Country Lane Suite 201
Fond Du Lac WI 54935
Advisors at this office
4
Advisors at this office
Lynn H
Series 66
Fond Du Lac, WI
Cetera
Lynn Haefs is a financial advisor with Cetera, holding a Series 66 designation and 12 years of industry experience. She has been with Cetera since 2025 and also serves as a partner at LVF, LLC dba Ledgevest Financial, where she provides financial services. Prior to her current roles, she worked at Wells Fargo Advisors and Wells Fargo Clearing. Cetera Investment Advisers LLC is an SEC-registered firm that serves individual investors, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a large network of independent advisors and employs a multi-manager platform with various program options and custodial relationships.
Brian J
Series 66
Fond Du Lac, WI
Cetera
Brian Jones is a financial advisor with Cetera, holding a Series 66 designation and 19 years of industry experience. He has worked with Cetera since 2025 and previously held roles at Wells Fargo Advisors and LVF, LLC dba Ledgevest Financial. Jones serves as president of a longstanding charitable golf tournament in Fond Du Lac, WI, which supports local causes through a donor-advised fund, and holds board positions with the Beacon House Foundation and Fond du Lac Morning Rotary. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, retirement plans, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers diverse portfolio management and financial planning services, operating a multi-manager platform that includes affiliated model portfolios, third-party managers, and customized strategies.
James T
Series 66
Fond Du Lac, WI
Cetera
James Taylor is a financial advisor with Cetera, holding a Series 66 designation and three years of industry experience. Prior to joining Cetera in 2025, he worked at Wells Fargo Advisors for two years. Outside of his advisory role, Taylor serves on several local boards, including as Sergeant at Arms for Morning Rotary, a board member of the Fondy Food Pantry, and an advisory committee member for Moraine Park Technical College’s finance program. He also coaches track and field at St. Marys Springs Academy. Cetera Investment Advisers LLC serves a wide range of clients including individuals, retirement plans, corporate and charitable organizations, and institutional accounts. The firm offers access to multiple investment managers and customized strategies across various program platforms and custodial relationships.
Shawn L
CFP®, Series 63, Series 66
Fond Du Lac, WI
Cetera
Shawn Longley is a CFP® professional with 26 years of experience in the financial industry. He is currently with Cetera and has previously worked at Wells Fargo Advisors and Wells Fargo Clearing. Outside of his advisory role, he serves on the boards of several local foundations and booster clubs and is involved in buying and selling sports cards as a personal interest. Cetera Investment Advisers LLC operates a nationwide network of independent advisors serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and consulting services through a multi-manager platform that includes proprietary model portfolios, third-party managers, and customized strategies.
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