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Karol Heli Heredia

Cetera Investment Advisers LLC

Gulf Shores, AL

Pensacola, FL

CRD 6840911

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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
FL RA APPROVED 2024-05-07
AL RA APPROVED 2023-01-09
  • FL RA
    APPROVED
    Since 2024-05-07
  • AL RA
    APPROVED
    Since 2023-01-09

Branch Locations

1400 Gulf Shores Parkway, Gulf Shores, AL 36542 • United States

70 S Blue Angel Parkway, Pensacola, FL 32506 • 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
Regions Bank Gulf Shores AL 07/2009 08/2017
Regions Bank Mobile AL 08/2017 Present
Cetera Investment Services Llc St. Cloud MN 08/2018 Present
Cetera Investment Advisers Llc Gulf Shores AL 01/2023 Present
  • 07/2009 → 08/2017
    Regions Bank
    Gulf Shores, AL
  • 08/2017 → Present
    Regions Bank
    Mobile, AL
  • 08/2018 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2023 → Present
    Cetera Investment Advisers Llc
    Gulf Shores, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-06
  • S66 Uniform Combined State Law Examination
    2023-01-06
Other Names
  • Karol Heli Aliaga

View on SEC IAPD

Nearby Firms

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
WELLS FARGO CLEARING SERVICES, LLC
TRUEWEALTH ADVISORS, LLC

Nearby Investors

ROBERT AUBREY HART
RONALD DWAYNE MOXNESS
MELANIE GARRETT PURVIS

Nearby Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GULF SHORES, AL
CETERA INVESTMENT ADVISERS LLC · GULF SHORES, AL
WELLS FARGO CLEARING SERVICES, LLC · GULF SHORES, AL

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