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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED_RES | 2025-09-05 |
Branch Locations
301 Science Dr., Suite 110, Moorpark, CA 93021 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Financial Consultants, Inc. | Westlake Village | CA | 02/2010 | 05/2019 |
| Summit Financial Consultants, Inc. | Westlake Village | CA | 02/2012 | 05/2019 |
| Triad Advisors, Inc. | Norcross | GA | 02/2015 | 04/2019 |
| 1St Global Capital, Corp. | Moorpark | CA | 04/2019 | 10/2019 |
| 1St Global Advisors, Inc. | Moorpark | CA | 04/2019 | 10/2019 |
| Avantax Insurance Services, Inc. | Moorpark | CA | 04/2019 | 09/2025 |
| Avantax Advisory Services | Moorpark | CA | 10/2019 | 09/2025 |
| Avantax Investment Services, Inc. | Moorpark | CA | 10/2019 | 09/2025 |
| Cetera Wealth Services, Llc | Moorpark | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) CONCIERGE WEALTH MANAGEMENT SERVICES INC. POSITION: Financial Advisor NATURE: wealth management and financial planning services INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 05/01/2019 ADDRESS: 420 Bullard Ave. 103, Clovis CA 93612, United States DESCRIPTION: wealth management and financial planning services
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-21 |
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