Michael Fay Tarpy

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	2023-02-23
CA	RA	APPROVED	2012-06-12

TX RA
APPROVED_RES

Since 2023-02-23
CA RA
APPROVED

Since 2012-06-12

Branch Locations

Santee, CA • 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

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	10/2003	Present
Michael F. Tarpy Co	El Cajon	CA	01/1973	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/2012	Present
Eastern Pacific Vessel Management	El Cajon	CA	11/2014	04/2021

10/2003 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
01/1973 → Present

Michael F. Tarpy Co

El Cajon, CA
05/2012 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
11/2014 → 04/2021

Eastern Pacific Vessel Management

El Cajon, CA

Other Businesses

1) MICHAEL F. TARPY IS NOT INVESTMENT RELATED AND THE POSITION IS PRESIDENT, ACCOUNTANT 40 HRS WEEKLY; 2) SALES OF HEALTH/MEDICAL INSURANCE THROUGH BLUE CROSS, AGENT, SINCE 09/2007, 2H/WK

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-06-11
S63	Uniform Securities Agent State Law Examination	2003-12-23

S65 Uniform Investment Adviser Law Examination

2012-06-11
S63 Uniform Securities Agent State Law Examination

2003-12-23

View on SEC IAPD