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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
180 Schwenk Drive, Kingston, NY 12401 • United States
Saugerties, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Marketing One Securities, Inc. | Kingston | NY | 11/1997 | Present |
| Cetera Investment Advisers Llc | Kingston | NY | 01/2014 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 01/2014 | Present |
| Ulster Savings Bank | Kingston | NY | 01/2014 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-04 |
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