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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-27 |
| TX | RA | APPROVED_RES | 2024-06-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of The West | San Francisco | CA | 04/2013 | 08/2017 |
| Bancwest Investment Services | San Francisco | CA | 04/2013 | 08/2017 |
| U.S. Bancorp Investments, Inc. | San Francisco | CA | 09/2017 | 11/2018 |
| U.S. Bancorp Investments, Inc. | Chino | CA | 02/2019 | 09/2021 |
| Unemployed | Diamond Bar | CA | 12/2018 | 01/2019 |
| J.P. Morgan Securities Llc | La Habra | CA | 09/2021 | 04/2022 |
| Jp Morgan Chase Bank, N.A. | La Habra | CA | 09/2021 | 04/2022 |
| Citigroup | Whittier | CA | 05/2022 | 06/2024 |
| East West Bank | Pasadena | CA | 06/2024 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 06/2024 | Present |
| Cetera Investment Advisers Llc | Pasadena | CA | 06/2024 | Present |
1.) CHILD SPORT’S COACH VOLUNTEER, 3/HRS/WK.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-07-14 |
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