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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
CA RA APPROVED 2025-09-05
  • CA RA
    APPROVED
    Since 2025-09-05

Branch Locations

13701 Riverside Dr Ste 707, Sherman Oaks, CA 91423 • United States

Sherman Oaks, CA • 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
Avantax Advisory Services Sherman Oaks CA 01/2025 09/2025
Rsvp Cpas & Advisors Inc Sherman Oaks CA 08/2016 Present
Squar Milner Llp Encino CA 09/2012 12/2016
Rsvp Cpas & Advisors Inc Sherman Oaks CA 08/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 01/2025 → 09/2025
    Avantax Advisory Services
    Sherman Oaks, CA
  • 08/2016 → Present
    Rsvp Cpas & Advisors Inc
    Sherman Oaks, CA
  • 09/2012 → 12/2016
    Squar Milner Llp
    Encino, CA
  • 08/2016 → Present
    Rsvp Cpas & Advisors Inc
    Sherman Oaks, CA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2025-01-14 → 2025-09-05
    Avantax Advisory Services
    Sherman Oaks, CA
    Dallas, TX
    Sherman Oaks, CA
Other Businesses

1) AASCPA EDUCATION FOUNDATION POSITION: CEO NATURE: This is a tax exempt IRC 501(c)(3) charitable education foundation which accepts donations from the public and grants scholarships to educational institutions. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/30/2018 ADDRESS: 4542 WILLIS AVENUE UNIT 207, SHERMAN OAKS CA 91403, United States DESCRIPTION: My role as the CEO is to manage the organization, accept donations, arrange the granting of scholarships to accounting students via educational institutions such as CSUN. 2) ARMENIAN AMERICAN SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: CEO NATURE: This is a tax exempt IRC 501(c)(6) professional society / membership organization for CPAs, non-CPA accountants and other professionals. The organization's mission is to help connect members and create networking opportunities. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/11/2016 ADDRESS: 4542 WILLIS AVENUE UNIT 207, SHERMAN OAKS CA 91403, United States DESCRIPTION: My role as the CEO is to manage the organization, organize networking events and educational seminars, manage the membership platform and website. 3) THE APRICOT LIFE FOUNDATION POSITION: CEO NATURE: Tax exempt IRC 501(c)(3) non-profit public charity organization. The entity has been inactive since start. It does not do any acitivites. The intended purpose of this non-profit is to raise donations from the public and make donations to other non-profit organizations for causes in education and healthcare. I will let you know ahead of time if I plan to make it active again. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/11/2016 ADDRESS: 4542 WILLIS AVENUE UNIT 207, SHERMAN OAKS CA 91403, United States DESCRIPTION: The entity is inactive. My duties are to maintain the legal and charitable status by filing IRS and CA non-profit tax returns and necessary reports with CA DOJ Registry of Charitable Trusts. Since the entity is inactive, there are no other duties. If the entity was active, my duties would have been to promote the non-profit, raise donations, research and evaluate causes in education and healthcare that are in line with the non-profit's goals, and to arrange donations and scholarships. Again, the entity is currenty inactive. I will let you know ahead of time if I plan to make it active again. 4) RSVP CPAS & ADVISORS INC POSITION: CEO NATURE: CPA firm providing tax preparation, tax planning, tax consulting, tax compliance, accounting, bookkeeping, financial statement preparation, business consulting services. INVESTMENT RELATED: No NUMBER OF HOURS: 145 SECURITIES TRADING HOURS: 115 START DATE: 08/02/2016 ADDRESS: 13701 Riverside Dr Ste 707, Sherman Oaks CA 91423, United States DESCRIPTION: Prepare tax returns, provide tax compliance and tax consulting services, provide accounting/bookkeeping services, manage client relationships and tax/accounting engagements, review employee's work, hiring, marketing, management.

Designations
  • Personal Financial Specialist

View on SEC IAPD

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