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Alex Palomino

Cetera Investment Advisers LLC

Miami, FL

CRD 7441498

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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
FL RA APPROVED 2024-09-06
  • FL RA
    APPROVED
    Since 2024-09-06

Branch Locations

2800 Ponce De Leon Blvd, Miami, FL 33134 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Equitable Advisors, Llc New York NY 11/2021 12/2021
Cat Auto Sales Palm Bay FL 06/2010 09/2022
Ultra Chem Llc Miami FL 06/2020 05/2021
Tbc Tire Kingdom Miami FL 12/2016 12/2019
Valet Living Miami FL 03/2022 09/2022
Td Bank N.A. Weston FL 09/2022 09/2024
Td Private Client Wealth Llc Weston FL 09/2022 09/2024
Cetera Investment Services Llc Saint Cloud MN 08/2024 Present
Cetera Investment Advisers Llc Hialeah FL 08/2024 Present
Regions Bank Hialeah FL 09/2024 Present
  • 11/2021 → 12/2021
    Equitable Advisors, Llc
    New York, NY
  • 06/2010 → 09/2022
    Cat Auto Sales
    Palm Bay, FL
  • 06/2020 → 05/2021
    Ultra Chem Llc
    Miami, FL
  • 12/2016 → 12/2019
    Tbc Tire Kingdom
    Miami, FL
  • 03/2022 → 09/2022
    Valet Living
    Miami, FL
  • 09/2022 → 09/2024
    Td Bank N.A.
    Weston, FL
  • 09/2022 → 09/2024
    Weston, FL
  • 08/2024 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2024 → Present
    Hialeah, FL
  • 09/2024 → Present
    Regions Bank
    Hialeah, FL
Previous Registrations
  • 2022-10-21 → 2024-09-06
    Oakland Park, FL
    West Palm Beach, FL
    Miami, FL
    Fort Lauderdale, FL
    Sarasota, FL
    Weston, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-07-23
S65 Uniform Investment Adviser Law Examination 2022-10-20
  • S63 Uniform Securities Agent State Law Examination
    2024-07-23
  • S65 Uniform Investment Adviser Law Examination
    2022-10-20
Other Names
  • Alex Palomino
  • Alex Xavier Palomino

View on SEC IAPD

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