CETERA INVESTMENT ADVISERS LLC
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CETERA INVESTMENT ADVISERS LLC
(CRD# 105644)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Schaumburg, IL.
The SEC approved the firm to operate as an RIA in
Jan 1984.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$10.3 Billion,
with discretion over
84%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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CETERA INVESTMENT ADVISERS LLC
also reported in
Mar 2019
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2072
employees,
with
1911
performing advisory functions.
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A total of 1939 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 INVESTMENT ADVISERS LLC has one or more disclosure events currently on file with the SEC.
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CETERA INVESTMENT ADVISERS LLC has Notice Filings with the following State Securities Authorities: AK-Mar 1999, AL-Jun 1998, AR-Mar 1999, AZ-Jan 1999, CA-Jan 1999
, CO-Mar 1999, CT-Mar 1999, DC-Apr 1999, DE-Mar 2003, FL-May 1998
, GA-Mar 1998, HI-May 1998, IA-Dec 1999, ID-Mar 1999, IL-Feb 1984
, IN-Feb 2001, KS-Mar 1998, KY-Apr 1998, LA-Oct 2001, MA-Mar 1998
, MD-Feb 1998, ME-Jul 2001, MI-Apr 1998, MN-Apr 1998, MO-Nov 1996
, MS-Mar 1998, MT-Mar 1999, NC-Feb 2001, ND-May 2000, NE-Mar 1999
, NH-Jan 2001, NJ-Mar 1998, NM-Mar 1999, NV-Mar 1999, NY-Oct 1998
, OH-Feb 2000, OK-Mar 2000, OR-Jun 2002, PA-Feb 1998, PR-Mar 2003
, RI-Jan 2000, SC-Feb 2001, SD-Jan 1997, TN-May 1998, TX-Jan 1999
, UT-Mar 1999, VA-Mar 1999, VI-Jun 2007, VT-Mar 1999, WA-Mar 1999
, WI-May 1998, WV-Mar 1999, 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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