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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-08-07 |
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
535 Madison Ave 8Th Floor, New York, NY 10022 • United States
485 Madison Ave 12Th Fl Ste 1200, New York, NY 10022 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St. Cloud | MN | 10/2006 | Present |
| Cetera Investment Advisers Llc | New York | NY | 01/2014 | Present |
| East West Bank | New York | NY | 01/2014 | Present |
1.)LOAN ORIGINATOR FOR RESIDENTIAL MORTGAGES FOR EAST WEST BANK. NO EXISITING CLIENTS CURRENTLY INVOLVED. COULD INVOLVE SECURITY CLIENTS IN THE FUTURE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-07 |
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