Michael N. Grossman

CETERA INVESTMENT ADVISERS LLC

LAFAYETTE HILL, PA 19444

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CRD#: 1233777

Professional summary

Michael Neil Grossman, CFP®, who also goes by Mike Grossman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lafayette Hill, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lafayette Hill, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Grossman

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 ENTITY:MTN Financial Advisors; Yes; 2006 DEKALB PIKE STE 201; EAST NORRITON; PA; 19401; Tax Preperation, Fixed Insurace, Securities and Investment Advisory Services and Financial Planning; Owner; 1/1/1985; 40; 25; Providing these dservices to my clients. 2. NAME OF ENTITY: Independent Insurance Agent; Yes; 2006 DEKALB PIKE STE 201; East Norriton; PA; 19401; Fixed Insurance Sales; Independent Insurance Agent; 7/30/2018; 8; 8; Sales of Fixed Insurance Products 3. NAME OF ENTITY:Fritz Lodge #308; No; 8 FAYETTE STREET; CONSHOHOCKEN; PA; 19428; masonic lodge; treasurer; 1/1/2002; 12; 12; treasurer--pay bills and give reports on bills approved by members| 4. NAME OF OTHER BUSINESS: GROSSMANS GARAGE SELLS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: SALES; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TO PROCESS PERSONAL ITEMS FOR SALE. ONCE SOLD PACKAGE AND SHIP ITEMS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neil Grossman'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 600 Germantown Pike 1st Floor Rear, Lafayette Hill, PA 19444

RIA

CRD#: 105644

LAFAYETTE HILL, PA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 600 Germantown Pike 1st Floor Rear, Lafayette Hill, PA 19444

CRD#: 13572

Lafayette Hill, PA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

December 11, 2007 - December 17, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CONSHOHOCKEN, PA

Past

December 11, 2007 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

EAST NORRITON, PA

Past

December 4, 2007 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EAST NORRITON, PA

Past

April 1, 1991 - December 17, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CONSHOHOCKEN, PA

Past

January 2, 1991 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

November 4, 1985 - September 9, 1992

PEB FINANCIAL GROUP, INC.

CRD#: 7708

CHICAGO, IL

Past

July 16, 1985 - December 24, 1990

ILG SECURITIES CORPORATION

CRD#: 422

KANSAS CITY, MO

Past

September 12, 1984 - June 26, 1985

PW SECURITIES, INC.

CRD#: 6775

Past

March 6, 1984 - September 5, 1984

WADDELL & REED

CRD#: 866

Past

February 27, 1984 - March 7, 1984

NORTH AMERICAN INVESTMENT CORP.

CRD#: 7568

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 Jersey
(6/9/2021)

Pennsylvania
(6/9/2021)

IAR

Pennsylvania
(6/29/2023)

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

Series 63

Date: 10/16/1989

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: 11/16/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/24/1984

Investment Company Products/Variable Contracts 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)

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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.

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Firm Stability Insights

Michael N. Grossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neil Grossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

PEB FINANCIAL GROUP, INC.

ILG SECURITIES CORPORATION

PW SECURITIES, INC.

WADDELL & REED

NORTH AMERICAN INVESTMENT CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1989

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1993

Series 6

Date: 2/24/1984

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

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