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CETERA ADVISORS LLC
CETERA ADVISORS LLC (CRD# 10299) is an SEC-Registered Investment Advisor (RIA), headquartered in Denver, CO. The SEC approved the firm to operate as an RIA in Oct 1988. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $12.2 Billion, with discretion over 80% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
CETERA ADVISORS LLC also reported in Mar 2019
  • 1066 employees, with 957 performing advisory functions.
  • A total of 817 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
CETERA ADVISORS LLC has one or more disclosure events currently on file with the SEC.
 

View CETERA ADVISORS LLC's most recent Form ADV filing
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CETERA ADVISORS LLC has Notice Filings with the following State Securities Authorities: AK-Mar 1998, AL-Oct 1999, AR-Jul 1997, AZ-Oct 1996, CA-Jul 19 , CO-Jan 1999, CT-Sep 1997, DC-Jan 1993, DE-Aug 2003, FL-Oct 1 , GA-Mar 2000, HI-May 1996, IA-May 2000, ID-Jan 1994, IL-Nov 1 , IN-Feb 2001, KS-Oct 1997, KY-Jan 2004, LA-Oct 2001, MA-Mar 2 , MD-Sep 1992, ME-Jun 1998, MI-Jul 2001, MN-Feb 1993, MO-Aug 1 , MS-Jan 2001, MT-May 2001, NC-Jan 2001, ND-Sep 2001, NE-Sep 2 , NH-Jul 1997, NJ-Feb 1993, NM-Jan 1994, NV-Aug 1998, NY-Mar 1 , OH-May 2000, OK-Jan 1998, OR-Sep 2001, PA-Aug 2001, PR-Aug 2 , RI-May 1995, SC-Jan 2001, SD-Apr 1995, TN-Oct 1997, TX-Nov 1 , UT-Apr 1995, VA-Jun 1992, VI-Apr 2013, VT-Mar 2002, WA-Mar 1 , WI-Feb 1993, WV-Sep 1997, WY-Mar 2019


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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