Francisco Javier Fernandez Leon

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-09-27
FL	RA	APPROVED	2015-12-23

TX RA
APPROVED_RES

Since 2021-09-27
FL RA
APPROVED

Since 2015-12-23

Branch Locations

715 S Fort Harrison Ave, Clearwater, FL 33756 • United States

Palm Habor, FL • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Regions Bank	Miami	FL	11/2015	Present
Cetera Investment Advisers Llc	Miami	FL	12/2015	Present
Cetera Investment Services Llc	St.CLoud	MN	12/2015	Present

11/2015 → Present

Regions Bank

Miami, FL
12/2015 → Present

Cetera Investment Advisers Llc

Miami, FL
12/2015 → Present

Cetera Investment Services Llc

St.CLoud, MN

Previous Registrations

2015-11-06 → 2015-11-09

Oriental Financial Services Llc

San Juan, PR

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-03-15

S66 Uniform Combined State Law Examination

2013-03-15

View on SEC IAPD

Employer firm

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Nearby Firms

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