CETERA ADVISOR NETWORKS LLC
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CETERA ADVISOR NETWORKS LLC
(CRD# 13572)
is an SEC-Registered Investment Advisor (RIA), headquartered in
El Segundo, CA.
The SEC approved the firm to operate as an RIA in
Aug 1994.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$18.1 Billion,
with discretion over
74%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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CETERA ADVISOR NETWORKS LLC
also reported in
Mar 2019
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1767
employees,
with
1574
performing advisory functions.
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A total of 851 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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CETERA ADVISOR NETWORKS LLC has one or more disclosure events currently on file with the SEC.
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CETERA ADVISOR NETWORKS LLC has Notice Filings with the following State Securities Authorities:
AK-Mar 1995, AL-Mar 1995, AR-Jan 1995, AZ-May 2002, CA-Jul 1997
, CO-Jan 1999, CT-Aug 1997, DC-Feb 1995, DE-Aug 2003, FL-Dec 1994
, GA-Dec 1994, HI-Mar 1995, IA-Jan 1999, ID-Mar 1995, IL-Feb 1995
, IN-Feb 2001, KS-Aug 1997, KY-May 2002, LA-Oct 2001, MA-May 2002
, MD-Jan 1995, ME-May 1996, MI-Feb 2003, MN-Jan 1998, MO-Feb 1995
, MS-Nov 1997, MT-Sep 1997, NC-Feb 2001, ND-Mar 1995, NE-Jul 1997
, NH-May 1995, NJ-Jun 1992, NM-Apr 1985, NV-Jan 1995, NY-Dec 1994
, OH-Oct 1999, OK-Jan 1998, OR-May 2002, PA-Nov 2001, PR-Aug 2013
, RI-Jan 1998, SC-Feb 1995, SD-May 1995, TN-Oct 1997, TX-Jul 1983
, UT-Mar 1995, VA-Mar 1995, VI-Apr 2013, VT-Apr 1995, WA-Feb 1995
, WI-Apr 1995, WV-Jan 1998, WY-Aug 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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