Howard Lewis Ginsberg

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-12

NY RA
APPROVED

Since 2021-04-12

Branch Locations

200 S Service Rd Suite 202, Roslyn Heights, NY 11577 • 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

Organization	City	State	From	To
Self-Employed Howard Ginsberg Cpa	Roslyn Hts	NY	07/1993	Present
Cetera Financial Specialists Llc	Schaumburg	IL	06/2000	Present
Cetera Investment Advisers Llc	Schaumburg	IL	08/2000	Present
Ginsberg Wealth Management	Roslyn Heights	NY	06/2009	Present

07/1993 → Present

Self-Employed Howard Ginsberg Cpa

Roslyn Hts, NY
06/2000 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
08/2000 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
06/2009 → Present

Ginsberg Wealth Management

Roslyn Heights, NY

Other Businesses

1)PUB ACCTG & TAX PRAC-SOLE PROP SINCE 93-ACCOUNTANT-40HR/WK: 2)GINSBERG WEALTH MANAGEMENT LLC; INV REL; SAME AS REGISTERED ADDRESS; BUSINESS-SALES MARKETING FOR IAR & RR; OWNER/MEMBER SINCE 6/23/09; VARIOUS HOURS DURING TRADING HOURS; DUTIES-OWNER:

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-11-04

S63 Uniform Securities Agent State Law Examination

1997-11-04

Other Names

Howard Lewis Ginsburg

View on SEC IAPD