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Michael Joseph St. Pierre

Cetera Investment Advisers LLC

Hauppauge, NY

CRD 1760408

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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
NY RA APPROVED 2021-05-21
  • NY RA
    APPROVED
    Since 2021-05-21

Branch Locations

1600 Caleb's Path Extn; Ste # 121, Hauppauge, NY 11788 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Community Bank East Northport NY 07/2009 03/2019
Lpl Financial Llc East Northport NY 07/2009 04/2020
Cetera Investment Advisers Llc Hauppauge NY 06/2020 Present
Cetera Investment Services Llc St. Cloud MN 06/2020 Present
  • 07/2009 → 03/2019
    New York Community Bank
    East Northport, NY
  • 07/2009 → 04/2020
    East Northport, NY
  • 06/2020 → Present
    Hauppauge, NY
  • 06/2020 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2019-05-24 → 2020-04-30
    Smithtown, NY
    Commack, NY
    East Northport, NY
    Smithtown, NY
    Smithtown, NY
    Bayshore, NY
    East Islip, NY
    Port Jefferson, NY
    Plainview, NY
    Bethpage, NY
    New York, NY
    Roslyn, NY
    Yonkers, NY
    Yonkers, NY
    Yonkers, NY
    Flushing, NY
    East Meadow, NY
    Forest Hills, NY
    Bayside, NY
    Fresh Meadows, NY
    Flushing, NY
    Flushing, NY
    College Point, NY
    Whitestone, NY
    Forest Hills, NY
    College Point, NY
    Islandia, NY
    Flushing, NY
    Ronkonkoma, NY
    Long Island City, NY
    Franklin Square, NY
    Flushing, NY
    Rego Park, NY
    St. James, NY
    Shirley, NY
    Jericho, NY
    Brentwood, NY
    Brooklyn, NY
    Hicksville, NY
    North Babylon, NY
    Plainview, NY
    East Meadow, NY
    West Hempstead, NY
    Smithtown, NY
    Woodbury, NY
    Syosset, NY
    Islandia, NY
    Hauppauge, NY
    East Northport, NY
    Shirley, NY
    Huntington Station, NY
    Ronkonkoma, NY
    Lawrence, NY
    North Babylon, NY
    Brooklyn, NY
    Little Neck, NY
    Little Neck, NY
    Bayside, NY
    New Hyde Park, NY
    Oceanside, NY
    Merrick, NY
    Mineola, NY
    West Hempstead, NY
    Hicksville, NY
    East Northport, NY
    Commack, NY
    Huntington Station, NY
    Bayside, NY
    Hicksville, NY
    Hicksville, NY
    Garden City, NY
    Bay Shore, NY
    Brentwood, NY
    Hicksville, NY
Other Businesses

1) ST PIERRE ASSOCIATES, INC., SALES OF PROPERTY & CASUALITY INSURANCE, MEDICARE SUPPLEMENT INSURANCE, STRAIGHT COMMISSIONS, 5 HRS/WK 2) BOARD MEMBER AT THE ASSOCIATION FOR MENTAL HEALTH AND WELLNESS, 1/HR/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-22
S63 Uniform Securities Agent State Law Examination 1987-12-21
  • S65 Uniform Investment Adviser Law Examination
    2014-04-22
  • S63 Uniform Securities Agent State Law Examination
    1987-12-21
Other Names
  • Mike Stpierre
  • Michael Joseph Stpierre

View on SEC IAPD

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