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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 | 2023-08-31 |
| NY | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Securities Llc | New York | NY | 08/2013 | 06/2017 |
| Regus | Melville | NY | 07/2017 | 12/2018 |
| A&F Capital Group, Llc | Melville | NY | 10/2018 | 12/2018 |
| Cadaret, Grant & Co., Inc. | Melville | NY | 10/2018 | 12/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Melville | NY | 12/2018 | 01/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-23 |
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