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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
NJ RA APPROVED 2023-06-29
NC RA APPROVED 2023-06-29
PA RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
VA RA APPROVED 2023-06-29
FL RA APPROVED 2023-04-03
  • NJ RA
    APPROVED
    Since 2023-06-29
  • NC RA
    APPROVED
    Since 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29
  • VA RA
    APPROVED
    Since 2023-06-29
  • FL RA
    APPROVED
    Since 2023-04-03

Branch Locations

1800 John F Kennedy Blvd Ste 300, Philadelphia, PA 19103 • United States

1213 Culbreth Drive Suite 450, Wilmington, NC 28405 • United States

501 East Las Olas Blvd Suite 200, Fort Lauderdale, FL 33301 • United States

1100 N Glebe Rd Ste 1010, Arlington, VA 22201 • United States

991 Us Highway 22 Suite 200-210, Bridgewater, NJ 08807 • United States

630 Freedom Business Center 3Rd Floor, Suite 15, King Of Prussia, PA 19406 • United States

Philadelphia, PA • 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
Voya Financial Advisors Philadelphia PA 06/2009 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
Tundidor Wealth & Investment Group Philadelphia PA 04/2023 Present
  • 06/2009 → 06/2021
    Voya Financial Advisors
    Philadelphia, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2023 → Present
    Schaumburg, IL
  • 04/2023 → Present
    Tundidor Wealth & Investment Group
    Philadelphia, PA
Previous Registrations
  • 2009-09-16 → 2021-06-14
    Philadelphia, PA
    Paramus, NJ
    Fort Lauderdale, FL
    Philadelphia, PA
    Braintree, MA
    Bridgewater, NJ
    Morgantown, WV
    Williamsburg, VA
    Wilmington, NC
    Windsor, CT
    Stamford, CT
Other Businesses

1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1800 JOHN F KENNEDY BLVD STE 300; Philadelphia; PA; 19103; Fixed Insurance Sales; Independent Insurance Agent; 9/2/2013; 40; 40; Sales of Fixed Insurance Products| 2) NAME OF ENTITY:LST Financial Services LLC; No; 41 ISLE OF Venice Drive Unit 201; Fort Lauderdale; FL; 33301; S-Corp; CEO/President; 3/1/2016; 0; 0; S-Corp for tax purposes only.| 3) NAME OF OTHER BUSINESS: TUNDIDOR WEALTH & INVESTMENT GROUP ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 80; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-08-24
S63 Uniform Securities Agent State Law Examination 2009-07-27
  • S65 Uniform Investment Adviser Law Examination
    2009-08-24
  • S63 Uniform Securities Agent State Law Examination
    2009-07-27
Designations
  • Certified Financial Planner

View on SEC IAPD

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