Lancaster, SC North Main Office

Team
Updated today
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,177

Across 5,101 offices

Clients per advisor

79 Low

Avg AUM per client

$306,089 Low

HNW client ratio

10% Low

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

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy

Based on Cetera

Occupation focus

Founder/Business Owner Executive

Based on Cetera

Location

401 North Main

Lancaster SC 29720

Advisors at this office

5

Advisors at this office

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Angela W

Series 63, Series 65

Lancaster, SC

Cetera

Angela Wallace is a financial advisor with Cetera, holding Series 63 and Series 65 licenses and possessing seven years of industry experience. She also works as a financial representative with Hess Financial Planning Inc., where she provides financial and tax planning services. Wallace has a background that includes roles at Avantax Investment Services and Founders Federal Credit Union. Cetera Investment Advisers LLC serves a wide range of clients, including individuals, employer-sponsored retirement plans, corporate, charitable, and institutional accounts. The firm offers diverse investment programs and portfolio management options through a large network of independent advisors.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

John H

Series 63, Series 65

Lancaster, SC

Cetera

John Hess is a financial advisor with Cetera who holds Series 63 and Series 65 licenses and has 21 years of industry experience. His background includes roles at Avantax Advisory Services and Avantax Insurance Agency, as well as ownership and leadership positions in multiple tax and accounting firms. Outside of his advisory work, he serves as treasurer for a local church and holds board and trustee roles in community organizations. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with a range of portfolio management options, combining proprietary and third-party strategies, and manages over $256 billion in assets through more than 10,000 advisors nationwide.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Drake H

Series 66

Lancaster, SC

Cetera

Drake Hess is a Series 66-licensed financial advisor with four years of industry experience, currently affiliated with Cetera. He has held roles at Avantax and Founders Federal Credit Union and also operates Hess Financial Planning Inc and Hess Tax & Accounting Group LLC, providing tax and accounting services. Additionally, he serves as treasurer for the Moriah Baptist Association. Cetera Investment Advisers LLC is a large SEC-registered advisory firm with over 10,000 advisors, offering a multi-manager platform that serves individual, retirement plan, corporate, charitable, and institutional clients through discretionary and non-discretionary portfolio management and financial planning services.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Colby W

Series 66

Lancaster, SC

Cetera

Colby Wallace is a financial professional at Cetera with one year of industry experience. He holds a Series 66 designation and is also involved with Hess Financial Planning Inc., where he provides financial services. Additionally, he works with Hess Tax and Accounting LLC, preparing tax returns. Cetera Investment Advisers LLC is an SEC-registered adviser serving a broad client base that includes individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers a multi-manager platform with various portfolio management and financial planning services, supporting both discretionary and non-discretionary arrangements.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

James M

Series 66

Lancaster, SC

Cetera

James Mullis III is a financial advisor with Cetera, holding a Series 66 designation and four years of industry experience. Prior to joining Cetera in 2025, he worked with Avantax advisory and insurance services from 2021 to 2025. Outside of his advisory role, he has experience assisting with tax return processing and serves as a poll manager during elections in Lancaster County, SC. Cetera Investment Advisers LLC is an SEC-registered firm that serves individual, retirement plan, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a wide range of investment management and financial planning services, utilizing a multi-manager platform that includes affiliated and third-party model portfolios, with more than 10,000 advisors managing over $256 billion in assets.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
View complete list of advisors at this office
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