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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 | 2023-01-17 |
| NY | RA | APPROVED | 2022-09-22 |
Branch Locations
485 Madison Ave 12Th Fl Ste 1200, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | New York | NY | 09/2015 | 08/2018 |
| Hsbc Securities Usa Inc | New York | NY | 09/2018 | 12/2020 |
| Canam Enterprises | New York | NY | 12/2020 | 10/2021 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2022 | Present |
| Cetera Investment Advisers Llc | New York | NY | 09/2022 | Present |
| East West Bank | New York | NY | 09/2022 | Present |
| Unemployed | New York | NY | 10/2021 | 09/2022 |
1. PRIVATE CLIENT ADVISOR FOR EAST WEST BANK, ADVISING CLIENTS IN BANKING RELATED SERVICES (INCLUDING DEPOSITS, CREDIT AND LENDING)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-31 |
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