Dennis Kelleher

CETERA INVESTMENT ADVISERS LLC | Branch Manager

ROCKVILLE CENTRE, NY

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CRD#: 1180619

Professional summary

Dennis Kelleher is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rockville Centre, New York and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Dennis has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.

Question & Answer

What are your service offerings?

Insurance

Retirement Income Strategies

Retirement Planning Strategies

Are you a "fiduciary"?

Yes

Aliases

None

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.

Insurance Agent; Non-Investment Related; Start Date: 09/02/2011; Insurance Lines: Life, Health, and Annuity, Approximately 40 hours per week during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Kelleher's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 7, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ROCKVILLE CENTRE, NY

Current

April 7, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

April 7, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

April 7, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

April 7, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

December 14, 2022 - March 12, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANO, TX

Past

December 14, 2022 - March 12, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, TX

Past

August 10, 2016 - September 14, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

MARLTON, NJ

Past

September 2, 2011 - September 14, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

MARLTON, NJ

Past

January 23, 2009 - August 6, 2009

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

CINCINNATI, OH

Past

October 28, 2004 - September 4, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 15, 1983 - April 22, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

New York
(4/7/2025)

IAR

New York
(4/7/2025)

Texas
(4/7/2025)

IAR

Texas
(4/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/1/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/1/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/1/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 26

Date: 11/7/2011

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Dennis Kelleher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Kelleher's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2016

Series 63

Date: 7/29/2013

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/26/2004

Series 6

Date: 8/1/1983

Series 10

Date: 8/1/2023

Series 9

Date: 6/1/2023

Series 26

Date: 11/7/2011

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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