CETERA ADVISORY SERVICES LLC
Adviser information for CETERA ADVISORY SERVICES LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 12 |
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Investment Advisory/Research | 12 |
Registered Broker-Dealer Representatives | 8 |
Registered State Investment Advisers | 12 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | No |
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Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Portfolio management for individuals and/or small businesses |
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Compensation | % of AUM |
Wrap Fee Program
Offers Wrap Fee Program | Yes |
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Acting As | RAUM |
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Sponsor | 0 |
Portfolio Manager | 0 |
Both for Same | 0 |
Identifiers
SEC RIA File Number | 801-108603 |
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SEC ERA File Number | 801-108603 |
SEC CIK Numbers | None |
SEC CRD Numbers | 285648 |
Legal Entity Identifier | None |
Principal Office
2301 ROSECRANS AVENUESUITE 5100
EL SEGUNDO
CA
United States
Monday - Friday, 8:00-5:00
Tel: 310-257-7880, Fax: 877-339-0774
Chief Compliance Officer
KRISTY HALEY
CHIEF COMPLIANCE OFFICER ADVISORY
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel:
310-257-7532
K***********@*********M
(Full email address available in API data)
Regulatory Contact
JOSE RODRIGUEZ
DIRECTOR ADVISORY COMPLIANCE
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel:
310-257-7526
J*************@*********M
(Full email address available in API data)
Industry Affiliates
ASSOCIATES IN EXCELLENCE, INC. | Pension consultant |
AVANTAX ADVISORY SERVICES | Other investment adviser, including financial planners |
AVANTAX INVESTMENT SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
AVANTAX PLANNING PARTNERS, INC. | Other investment adviser, including financial planners |
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC | Insurance company or agency |
CETERA ADVISOR NETWORKS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
CETERA ADVISORS INSURANCE SERVICES LLC | Insurance company or agency |
CETERA ADVISORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisor |
CETERA FINANCIAL SPECIALISTS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
CETERA INSURANCE AGENCY, LLC | Insurance company or agency |
CETERA INVESTMENT ADVISERS LLC | Other investment adviser, including financial planners |
CETERA INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
CETERA INVESTMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
CETERA TRUST COMPANY, N.A. | Trust company |
FASI INSURANCE SERVICES, INC | Insurance company or agency |
FASI OF TX, INC. | Insurance company or agency |
FIRST ALLIED RETIREMENT SERVICES, INC. | Pension consultant |
NFG BROKERAGE, LLC | Insurance company or agency |
THE RETIREMENT PLANNING GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
HALEY, KRISTY, MARIE | Individual | – | ADVISORY CHIEF COMPLIANCE OFFICER | 06/2016 | < 5% |
CETERA FINANCIAL GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 06/2016 | > 75% |
CETERA FINANCIAL HOLDINGS, LLC | Domestic Entity | CETERA FINANCIAL GROUP, INC. | OWNER | 10/2009 | > 75% |
ARETEC GROUP, INC | Domestic Entity | CETERA FINANCIAL HOLDINGS, LLC | OWNER | 10/2009 | > 75% |
Taylor, Thomas, Byron | Individual | – | CEO, PRESIDENT | 04/2021 | < 5% |
BUCHHEISTER, JEFFREY, ROBERT | Individual | – | CHEIF FINANCIAL OFFICER | 04/2021 | < 5% |
Mizuguchi, Maura, Rie | Individual | – | CHIEF ACCOUNTING OFFICER | 04/2021 | < 5% |
Gooley, Thomas, Andrew | Individual | – | VICE PRESIDENT | 04/2021 | < 5% |
NEARY, JOSEPH, DANIEL | Individual | – | VICE PRESIDENT | 04/2021 | < 5% |
SMILEY, STANLEY, ROBERT | Individual | – | VICE PRESIDENT | 04/2021 | < 5% |
Chaffin, Gary, Lynn | Individual | – | TAX OFFICER | 04/2021 | < 5% |
GOK, LISA, ANNE | Individual | – | SECRETARY | 04/2021 | < 5% |
SHORES, ALLAN, KEITH | Individual | – | TREASURER | 04/2021 | < 5% |
Van Havermaat, David, James | Individual | – | ASSISTANT SECRETARY | 04/2021 | < 5% |
LEE, WINNIE, AI-LING | Individual | – | ASSISTANT SECRETARY | 05/2022 | < 5% |
GC TWO INTERMEDIATE HOLDINGS, INC | Domestic Entity | ARETEC GROUP, INC | OWNER | 12/2012 | |
GC TWO HOLDINGS, INC | Domestic Entity | GC TWO INTERMEDIATE HOLDINGS, INC | OWNER | 07/2018 | |
GC THREE HOLDINGS, LLC | Domestic Entity | GC TWO HOLDINGS, INC | OWNER | 07/2018 | > 75% |
CETERA FINANCIAL GROUP, INC | Domestic Entity | CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | 10/2012 | > 75% |