MS
Mike B. Samantha
CETERA INVESTMENT ADVISERS LLC
IRVINE, CA 92614
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CRD#: 1111132
MS
Professional summary
Mike Balkrishna Samantha, CFP®, who also goes by Mike Samantha, Mukesh B Samantha, Mukesh Balkrishna Samantha, Sawant Samantha, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Irvine, California and CETERA ADVISORS LLC located in Irvine, California.
Mike is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mike has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Samantha | Mukesh B Samantha | Mukesh Balkrishna Samantha | Sawant Samantha
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME OF OTHER BUSINESS: US ADVISORS LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: PENSION & TAX CONSULTING
POSITION/TITLE/RELATIONSHIP: OWNER / CPA
START DATE: 02/2020
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: PENSION & TAX CONSULTING. REFER CLIENTS TO ACTUARIAL & CPA FIRMS
(2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 06/2020
APX NUMBER OF HOURS PER WEEK: 10 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 10 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
(3) NAME OF OTHER BUSINESS: MBS ADVISORS LLC ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: REAL ESTATE ;
START DATE: 07/2020 ;
POSITION/TITLE/RELATIONSHIP: OWNER ;
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: 1
BRIEF DESCRIPTION OF DUTIES: PURCHASING & MANAGING COMMERCIAL REAL ESTATE
CRS (Client Relationship Summary) - RIA
Click below to view Mike Balkrishna Samantha's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: One Park Plaza Suite 600, Irvine, CA 92614Office #2: 8181 Macron Street, Oak Hills, CA 92344RIA
CRD#: 105644
IRVINE, CA
Current
July 6, 2006 - Present
CETERA ADVISORS LLC
Office #1: One Park Plaza Suite 600, Irvine, CA 92614BD
CRD#: 10299
Irvine, CA
Past
July 6, 2006 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
August 1, 2003 - July 10, 2006
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
IRVINE, CA
Past
August 1, 2003 - July 10, 2006
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
IRVINE, CA
Past
January 17, 2003 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
IRVINE, CA
Past
July 13, 1989 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
July 19, 1988 - July 25, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 2, 1984 - July 29, 1989
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
June 8, 1983 - December 1, 1983
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/6/2006)
IAR
California(3/21/2024)
RR
Florida(9/10/2024)
RR
Nevada(7/6/2006)
RR
New Jersey(7/6/2006)
RR
New York(7/6/2006)
RR
North Carolina(7/31/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
