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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 2025-05-29
NV RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • CA RA
    APPROVED
    Since 2025-05-29
  • NV RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

Palm Desert, CA • United States

295 Hwy. 50 Suite 7, Zephyr Cove, NV 89448 • 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
First Allied Securities, Inc. Sandiego CA 12/1994 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Zephyr Cove NV 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 12/1994 → 09/2022
    First Allied Securities, Inc.
    Sandiego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Zephyr Cove, NV
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Zephyr Cove, NV
  • 1997-01-24 → 2012-07-02
    First Allied Securities, Inc.
    Zephyr Cove, NV
    Zephyr Cove, NV
Other Businesses

1. TAHOE DOUGLAS ROTARY CLUB; NON-PROFIT ORGANIZATION. 2. BUSCHER VACATION RENTAL REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT) JTWROS 8 HOURS PER MONTH 05/01/2012

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-19
S63 Uniform Securities Agent State Law Examination 1986-03-22
  • S65 Uniform Investment Adviser Law Examination
    1996-08-19
  • S63 Uniform Securities Agent State Law Examination
    1986-03-22

View on SEC IAPD

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