Marianne Conway
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.
Marianne Conway, who also goes by Marianne Lorz Conway, Marianne Lorz, Marianne Lotz, was a registered financial professional .
Marianne is a previously registered financial professional and started their career in finance in 1986. Marianne had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - June 15, 2026
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - June 15, 2026
CETERA WEALTH SERVICES, LLC
August 1, 2008 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
May 28, 2008 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
October 24, 2006 - May 14, 2008
FSC SECURITIES CORPORATION
February 23, 1994 - May 14, 2008
FSC SECURITIES CORPORATION
October 8, 1990 - January 1, 1994
QUEST SECURITIES, INC.
June 5, 1989 - October 12, 1990
GOLDEN BAY SECURITIES, INC.
December 2, 1987 - June 19, 1989
LONDON ZURICH SECURITIES, INC.
January 28, 1986 - June 14, 1988
SIGNATOR INVESTORS, 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
Current 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 |
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.
