Alison Epstein

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-08-26 → 2012-11-30
  Vicus Capital, Inc.
  New York, NY

Other Businesses

(1) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LTC FOR JOHN HANCOCK FROM BUSINESS ADDRESS FOR 2 WKDY HRS/WK SINCE 1/1990. (2) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC, MEDICARE RELATED PRODUCTS FROM BUSINESS ADDRESS FOR 4 WKDY AND 4 EVE/WKND HRS/WK SINCE 1/1995. (3) ALISON EPSTEIN, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TAX PREPARATION, STARTED 8/2012, OWNER, APX 1 HOUR PER WEEK, VARIES DURING TRADING HOURS, TAX PREP AND BOOKING.

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-09-15

Designations

• Certified Financial Planner

Other Names

• Alison Epstein
• Alison Granowitz
• Allison Epstein