LN
CFP · ChFC
LN
CFP · ChFC
Lloyd Naes
27 Years of Experience
St Louis, MO
1 DisclosureBroker
Lloyd Naes is a CFP, ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in St Louis, MO, with 27 years of industry experience. Lloyd operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
St Louis, MO
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Regulatory History (1)
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Customer Dispute
December 2004Closed-No Action
Other Business Activities
Lloyd works as a CPA providing tax consulting and compliance services through Lloyd Naes and Company, CPA's LLC. This takes nearly all of Lloyd's time, including evenings and weekends, since 1987.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLC
September 2013 - Present · 12 yrs 8 mos
Cetera Wealth Services, LLCBroker
September 2013 - Present · 12 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
September 2013 - June 2023 · 9 yrs 9 mos
Walnut Street Securities, INC.
February 2013 - September 2013 · 7 mos
Walnut Street Securities, INC.Broker
February 2013 - September 2013 · 7 mos
New England Securities Corporation
September 2004 - January 2013 · 8 yrs 4 mos
New England SecuritiesBroker
July 2004 - January 2013 · 8 yrs 6 mos
H.D. Vest Advisory Services, INC
May 2001 - September 2004 · 3 yrs 4 mos
H.D. Vest Investment ServicesBroker
January 2000 - September 2004 · 4 yrs 8 mos
H.D. Vest Investment Securities, INC.Broker
June 1998 - December 1999 · 1 yr 6 mos
State Registrations7 states
CAFLILMOSCSDWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.