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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
NH RA APPROVED 2026-06-23
  • NH RA
    APPROVED
    Since 2026-06-23

Branch Locations

Bedford, NH • United States

El Segundo, CA • 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
Jhfn Sii Boston MA 11/2010 11/2018
Royal Alliance Associates, Inc. Jersey City NJ 11/2018 04/2026
Cetera Advisors Llc Greenwood Village CO 04/2026 Present
Cetera Financial Specialists Llc Schaumburg IL 04/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 04/2026 Present
Cetera Investment Services Llc St Cloud MN 04/2026 Present
Cetera Wealth Services, Llc El Segundo CA 04/2026 Present
  • 11/2010 → 11/2018
    Jhfn Sii
    Boston, MA
  • 11/2018 → 04/2026
    Royal Alliance Associates, Inc.
    Jersey City, NJ
  • 04/2026 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 04/2026 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 04/2026 → Present
    Schaumburg, IL
  • 04/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-26
S63 Uniform Securities Agent State Law Examination 1996-09-26
  • S65 Uniform Investment Adviser Law Examination
    2002-11-26
  • S63 Uniform Securities Agent State Law Examination
    1996-09-26
Designations
  • Certified Financial Planner

View on SEC IAPD

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