Unclaimed Profile

Mary Frances Schott

CETERA ADVISORS LLC·ST CLOUD, Minnesota

SIE, Series 3, Series 7, Series 7TO, Series 9, Series 10, Series 24, Series 63, Series 66, Series 99TOClean record18 years registeredCETERA ADVISORS LLC

400 FIRST STREET SOUTH, ST CLOUD, MN 56301CRD# 1453429Firm CRD# 10299

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mary Frances Schott · ST CLOUD, MN

Registration

CRD #1453429 · CETERA ADVISORS LLC · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

Nov 2020 – May 2021

SAN DIEGO, CA

CETERA ADVISORS LLC

Mar 2018 – May 2021

SAN DIEGO, CA

FIRST ALLIED ADVISORY SERVICES, INC.

Mar 2018 – Nov 2020

SAN DIEGO, CA

FIRST ALLIED SECURITIES, INC.

Mar 2018 – Mar 2018

SAN DIEGO, CA

LPL FINANCIAL LLC

Jan 2017 – Nov 2017

SAN DIEGO, CA

LPL FINANCIAL LLC

Jun 2012 – Dec 2016

SAN DIEGO, CA

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Jan 2011

CHARLOTTE, NC

MORGAN STANLEY & CO. INCORPORATED

Jun 2008 – Jun 2009

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 7TO

Series 9

Series 10

Series 24

Series 63

Series 66

Series 99TO

Registration record

First registered · June 23, 2008

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA ADVISORS LLC

CRD 10299 · SEC 801-33020

AUM

$22.0B

Regulatory assets under management

Employees

1,138

81,652 client accounts

Services offered by CETERA ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CETERA ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Mary Frances Schott offer?

Mary Frances Schott specializes in Financial Planning, Investment Management, Wealth Management.

What are Mary Frances Schott's credentials?

Mary Frances Schott is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mary Frances Schott located?

Mary Frances Schott is based in ST CLOUD, Minnesota, last registered with CETERA ADVISORS LLC.

How does Mary Frances Schott charge for services?

Mary Frances Schott's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA ADVISORS LLC?

CETERA ADVISORS LLC has approximately 1138 employees and manages $22.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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