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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
NY RA APPROVED 2024-06-21
  • NY RA
    APPROVED
    Since 2024-06-21

Branch Locations

1 Blue Hill Plaza, 7Th Floor Suite 4373, Pearl River, NY 10965 • 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
Foresters Financial Services Nanuet NY 06/2017 08/2017
Pace University Pleasantville NY 09/2013 05/2017
Foresters Financial Nanuet NY 03/2018 10/2018
Management Information Solutions Cortlandt Manor NY 09/2015 03/2024
Foresters Financial Services Pearl River NY 10/2018 06/2019
Foresters Advisory Services Pearl River NY 11/2018 06/2019
Cetera Investment Services Llc Saint Cloud MN 03/2024 Present
Cetera Investment Advisers Llc Pearl River NY 06/2024 Present
  • 06/2017 → 08/2017
    Foresters Financial Services
    Nanuet, NY
  • 09/2013 → 05/2017
    Pace University
    Pleasantville, NY
  • 03/2018 → 10/2018
    Foresters Financial
    Nanuet, NY
  • 09/2015 → 03/2024
    Management Information Solutions
    Cortlandt Manor, NY
  • 10/2018 → 06/2019
    Foresters Financial Services
    Pearl River, NY
  • 11/2018 → 06/2019
    Foresters Advisory Services
    Pearl River, NY
  • 03/2024 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 06/2024 → Present
    Pearl River, NY
Previous Registrations
  • 2018-11-30 → 2019-06-20
    Foresters Advisory Services, Llc
    Pearl River, NY
Other Businesses

1. NOTARY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-20
S65 Uniform Investment Adviser Law Examination 2018-11-15
S63 Uniform Securities Agent State Law Examination 2017-07-14
  • S66 Uniform Combined State Law Examination
    2024-06-20
  • S65 Uniform Investment Adviser Law Examination
    2018-11-15
  • S63 Uniform Securities Agent State Law Examination
    2017-07-14
Other Names
  • Colby Connor Stover

View on SEC IAPD

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