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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
FL RA APPROVED 2024-07-24
PA RA APPROVED 2024-03-21
  • FL RA
    APPROVED
    Since 2024-07-24
  • PA RA
    APPROVED
    Since 2024-03-21

Branch Locations

Port St Lucie, FL • United States

301 Oxford Valley Rd Ste 1202A, Yardley, PA 19067 • 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
Gibson & Mayer, P.C. Yardley PA 07/1999 10/2017
Waterstone Financial Group Itasca IL 01/2006 10/2017
Lpl Financial Llc Yardley PA 09/2009 10/2017
Cetera Advisors Llc Denver CA 10/2017 Present
Wealth Management Advisors Yardley PA 08/2004 Present
Gibson & Mayer, Pc Yardley PA 07/1999 Present
Gibson/Mayer, Llc Yardley PA 11/2005 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 07/1999 → 10/2017
    Gibson & Mayer, P.C.
    Yardley, PA
  • 01/2006 → 10/2017
    Waterstone Financial Group
    Itasca, IL
  • 09/2009 → 10/2017
    Lpl Financial Llc
    Yardley, PA
  • 10/2017 → Present
    Cetera Advisors Llc
    Denver, CA
  • 08/2004 → Present
    Wealth Management Advisors
    Yardley, PA
  • 07/1999 → Present
    Gibson & Mayer, Pc
    Yardley, PA
  • 11/2005 → Present
    Gibson/Mayer, Llc
    Yardley, PA
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

1. WEALTH MANAGEMENT ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 8/2004,, REGISTERED REPRESENTITIVE APX NUMBER OF HOURS PER WEEK: 10, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES: RECOMMEND MUTUAL FUNDS AND VARIABLE ANNUITY PRODUCTS; 2. GIBSON & MAYER, PC, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, CPA FIRM, STARTED 7/1999, POSITION/TITLE/RELATIONSHIP: PARTNER/CPA, APX 35 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PREPARE FINANCIAL STATEMENTS, TAX RETURN PREP & BUSINESS CONSULTING SERVICES; 3. GIBSON/MAYER, LLC, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, CPA FIRM, STARTED 11/2005, POSITION/TITLE/RELATIONSHIP: PARTNER/CPA, APX 35 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: :PREPARE FINANCIAL STATEMENTS, TAX RETURN PREP & BUSINESS CONSULTING SERVICES; 4. N/A, NOT INVESTMENT RELATED, 8880 S OCEAN DR, UNIT 506, JENSEN BEACH, FL, 34957, REAL ESTATE, STARTED 1/2012, POSITION/TITLE/RELATIONSHIP: PARTNER, LESS THAN 1 HOUR PER WEEK, NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTAL REAL ESTATE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-13
S63 Uniform Securities Agent State Law Examination 2006-05-02
  • S66 Uniform Combined State Law Examination
    2018-02-13
  • S63 Uniform Securities Agent State Law Examination
    2006-05-02

View on SEC IAPD

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