Gene A. Schnabel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gene Arthur Schnabel was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1983. Gene had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2020 - January 3, 2022
CETERA INVESTMENT ADVISERS LLC
August 15, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
August 15, 2013 - January 3, 2022
FIRST ALLIED SECURITIES, INC.
June 1, 2004 - August 20, 2013
FSC SECURITIES CORPORATION
May 12, 2004 - August 20, 2013
FSC SECURITIES CORPORATION
July 12, 1999 - September 9, 2004
STERLING FINANCIAL SERVICES, INC.
July 8, 1997 - May 11, 2004
OSAIC WEALTH, INC.
January 1, 1994 - May 11, 2004
OSAIC WEALTH, INC.
April 30, 1993 - November 30, 1993
CETERA WEALTH SERVICES, LLC
November 16, 1988 - January 1, 1994
CYPRESS CAPITAL CORPORATION
June 23, 1986 - November 15, 1988
THOMSON MCKINNON SECURITIES INC.
December 13, 1983 - June 26, 1986
ACUMENT SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
