Marianne Conway

CETERA INVESTMENT ADVISERS LLC

LOS ALTOS, CA 94022

Some features on this profile are disabled

CRD#: 1214241

Professional summary

Marianne Conway, who also goes by Marianne Lorz Conway, Marianne Lorz, Marianne Lotz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Altos, California and CETERA WEALTH SERVICES, LLC located in Los Altos, California.

Marianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Marianne has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marianne Lorz Conway | Marianne Lorz | Marianne Lotz

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.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 146 MAIN ST STE 204; LOS ALTOS; CA; 94022; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/7/2008; 10; 0; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marianne Conway'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 146 Main Street Ste 204, Los Altos, CA 94022

RIA

CRD#: 105644

LOS ALTOS, CA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 146 Main Street Ste 204, Los Altos, CA 94022

CRD#: 13572

Los Altos, CA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 1, 2008 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LOS ALTOS, CA

Past

May 28, 2008 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LOS ALTOS, CA

Past

October 24, 2006 - May 14, 2008

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LOS ALTOS, CA

Past

February 23, 1994 - May 14, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

LOS ALTOS, CA

Past

October 8, 1990 - January 1, 1994

QUEST SECURITIES, INC.

CRD#: 6828

FAIR OAKS, CA

Past

June 5, 1989 - October 12, 1990

GOLDEN BAY SECURITIES, INC.

CRD#: 22951

Past

December 2, 1987 - June 19, 1989

LONDON ZURICH SECURITIES, INC.

CRD#: 13542

Past

January 28, 1986 - June 14, 1988

SIGNATOR INVESTORS, INC.

CRD#: 468

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

California
(6/9/2021)

IAR

California
(6/29/2023)

Utah
(6/9/2021)

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: 7/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marianne Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marianne Conway's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

QUEST SECURITIES, INC.

GOLDEN BAY SECURITIES, INC.

LONDON ZURICH SECURITIES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1999

Series 63

Date: 4/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1986

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

Similar Advisors