Richmond, VA E Canal Street Office

Team
Updated today
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,182

Across 5,098 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

800 E Canal Street, Suite 950

Richmond VA 23219

Advisors at this office

7

Advisors at this office

user avatar

Jared L

CFP®, Series 66

Richmond, VA

Cetera

Jared Lewis is a CFP® with 17 years of industry experience, currently serving at Cetera since 2023. He has previously worked with Virginia Asset Management and Minnesota Life Insurance Company, including their affiliate Securian Financial Services. Outside his advisory role, he co-owns Irongate Capital Advisors, LLC, a firm involved in securities offering, advisory, and insurance services. Cetera Investment Advisers LLC provides a multi-manager platform serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services, leveraging a large network of advisors and affiliated third-party managers.

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

Scott B

CFP®, Series 66

Richmond, VA

Cetera

Scott Broaddus is a CFP® professional with 21 years of industry experience, currently affiliated with Cetera. His prior work includes long-term roles at Select Brokers, LLC and Virginia Asset Management. Outside of his advisory duties, he owns Broaddus Investments LLC and serves as a board member of Premier Resource Group. Cetera Investment Advisers LLC is an SEC-registered adviser that supports a broad client base including individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers various portfolio management and financial planning services through a nationwide network of independent advisors and operates a multi-manager platform with diverse program options.

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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Karolina E

ChFC®, Series 63

Richmond, VA

Cetera

Karolina Ellis is a financial advisor at Cetera with 10 years of industry experience and holds the ChFC® and Series 63 designations. She has previously worked at Securian Financial Services Inc, Northwestern Mutual Investment Management, and Miller Financial Services. Outside of her advisory role, she was involved with F45 Training for one year. Cetera Investment Advisers LLC is an SEC-registered adviser serving individual, retirement plan, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a multi-manager platform with a range of discretionary and non-discretionary portfolio management services, including access to third-party money managers and model portfolios.

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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Emily A

Series 66

Richmond, VA

Cetera

Emily Armstrong is a financial professional with 15 years of industry experience, currently associated with Cetera. She holds the Series 66 designation and has worked at several firms, including Virginia Asset Management and Securian Financial Services. In addition to her advisory role, she serves as a notary public in an independent contractor capacity. Cetera Investment Advisers LLC is an SEC-registered firm that provides services to individual clients, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers a variety of portfolio management and financial planning solutions through a multi-manager platform with access to affiliated and third-party managers.

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

Benjamin B

Series 66

Richmond, VA

Cetera

Benjamin Bowman Jr. is a Series 66-credentialed financial advisor with four years of industry experience, currently affiliated with Cetera in Richmond, VA. His career includes roles at VAM Partners–Irongate Capital Advisors, Securian Financial Services, and Worth Higgins & Associates, Inc. He serves as a board member for Corporate Growth Richmond, a nonprofit networking organization, and works as a consultant for the Printing and Graphics Association MidAtlantic. Cetera Investment Advisers LLC is an SEC-registered firm that supports a nationwide network of independent advisors serving individual, retirement plan, corporate, charitable, and institutional clients. The firm offers a multi-manager platform with diversified portfolio management options, including discretionary and non-discretionary services, and manages over $256 billion in assets through more than 10,000 advisors.

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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Jennifer F

Series 66

Richmond, VA

Cetera

Jennifer Farley is a financial advisor with Cetera, holding a Series 66 designation and 12 years of industry experience. Her career includes roles at Northwestern Mutual, Bloom, LLC, Securian Financial Services, and VAM Partners. She is also involved with Virginia Asset Management, where she provides operational support. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, employer-sponsored retirement plans, corporate, charitable, and institutional clients through a large network of independent advisors. The firm offers diverse portfolio management and financial planning services across multiple program structures and custodial relationships.

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

Susan M

CFP®, Series 63

Richmond, VA

Cetera

Susan Murphey is a CFP® professional with 11 years of industry experience. She is currently affiliated with Cetera and has previously worked at Virginia Asset Management, Securian Financial Services Inc, and Kanawha Capital Management. Murphey serves as Vice President of Membership on the board of the Central Virginia Employee Benefits Council. Cetera Investment Advisers LLC is an SEC-registered adviser that serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a wide range of advisory services through a multi-manager platform with discretionary and non-discretionary portfolio management options.

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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