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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • NY RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

Patchogue, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Clear Sound Auto Patchogue NY 07/2006 Present
Cetera Wealth Services, Llc El Segundo CA 12/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/2006 → Present
    Clear Sound Auto
    Patchogue, NY
  • 12/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 12/2013, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: CLEARSOUND AUDIO, INVESTMENT RELATED: NO, ADDRESS: 25 EAST MASEM SQ PATCHOGUE, NY 11772, NATURE OF BUSINESS: HOME AUDIO SALES, START DATE: 2008, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: MANAGE, MARKET, SALES OF HOME AUDIO EQUIPMENT; 3. FEDEX, NOT INVESTMENT RELATED, BOHEMIA, NY, TRUCK DRIVING & PACKAGE DELIVERY, START 11/15/2014, 20HRS/WK (NON-TRADING HOURS), TRUCK DRIVER/DELIVERY PERSON;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-06-07
  • S63 Uniform Securities Agent State Law Examination
    2011-06-07

View on SEC IAPD

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