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Theresa Carpentieri Gernhard

Cetera Investment Advisers LLC

Bluffton, SC

CRD 3119822

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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
SC RA APPROVED 2015-10-29
  • SC RA
    APPROVED
    Since 2015-10-29

Branch Locations

Bluffton, SC • 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
Cetera Financial Specialists Llc Schaumburg IL 02/2008 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2008 Present
Tacco Financial Group Llc Pittsfield NH 01/2007 Present
  • 02/2008 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/2008 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 01/2007 → Present
    Tacco Financial Group Llc
    Pittsfield, NH
Previous Registrations
  • 2006-08-07 → 2008-03-10
    J. W. Cole Advisors, Inc.
    Tampa, FL
  • 2004-10-27 → 2004-12-15
    Investors Capital Corp.
    Pittsfield, NH
  • 2002-05-22 → 2002-12-31
    Eastern Point Advisors Inc.
    Pittsfield, NH
Other Businesses

1) TACCO FINANCIAL GROUP, LLC; PITTSFIELD, NH; INV REL; INSURANCE PRACTICE AND DBA FOR INVESTMENT PRACTICE; OWNER SINCE 1/2007; 160 HRS/MTH:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-02
S63 Uniform Securities Agent State Law Examination 1998-09-18
  • S65 Uniform Investment Adviser Law Examination
    2000-08-02
  • S63 Uniform Securities Agent State Law Examination
    1998-09-18
Other Names
  • Theresa A Carpentieri

View on SEC IAPD

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