Vincent M. Dinneen

CETERA INVESTMENT ADVISERS LLC

WALNUT CREEK, CA 94596

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CRD#: 1326606

Professional summary

Vincent Martin Dinneen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA ADVISORS LLC located in Walnut Creek, California.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Vincent has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

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.

1) RENTAL PROPERTY; OWNER; REAL ESTATE; START DATE: 03/08/2018; 4 HOURS PER MONTH. 2) NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: OWNER/ FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Martin Dinneen'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1777 Botelho Dr Ste 275, Walnut Creek, CA 94596

RIA

CRD#: 105644

WALNUT CREEK, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1777 Botelho Drive Suite 275, Walnut Creek, CA 94596

CRD#: 10299

Walnut Creek, CA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Walnut Creek, CA

Past

November 24, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

WALNUT CREEK, CA

Past

June 13, 2005 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WALNUT CREEK, CA

Past

July 19, 1994 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

November 29, 1993 - February 22, 1996

CIRE SECURITIES

CRD#: 32170

Past

August 28, 1991 - January 1, 1994

RAYMOND-MARTIN FINANCIAL INC.

CRD#: 28492

Past

May 30, 1991 - January 27, 1992

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

April 30, 1991 - June 18, 1991

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

April 26, 1989 - April 30, 1991

FINANCIAL WEST INVESTMENT GROUP

CRD#: 17869

Past

January 3, 1989 - February 11, 1989

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

Past

January 25, 1985 - January 1, 1989

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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

Arizona
(9/8/2022)

IAR

California
(11/12/2020)

California
(9/8/2022)

Colorado
(9/8/2022)

Connecticut
(9/8/2022)

District of Columbia
(9/8/2022)

Florida
(9/8/2022)

Hawaii
(9/8/2022)

Idaho
(3/27/2024)

Illinois
(6/28/2023)

Maryland
(9/8/2022)

Michigan
(9/8/2022)

Missouri
(9/8/2022)

Nevada
(9/8/2022)

New Jersey
(9/8/2022)

New York
(9/8/2022)

North Carolina
(9/8/2022)

Oregon
(9/8/2022)

Pennsylvania
(9/8/2022)

Rhode Island
(2/21/2025)

South Carolina
(9/8/2022)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

Virginia
(9/8/2022)

Washington
(9/8/2022)

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 66

Date: 11/4/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/1987

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: 1/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/25/1985

Registered Options 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.

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Firm Stability Insights

Vincent M. Dinneen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Martin Dinneen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

CIRE SECURITIES

RAYMOND-MARTIN FINANCIAL INC.

SPELMAN & CO., INC.

FINANCIAL WEST GROUP

FINANCIAL WEST INVESTMENT GROUP

EMMETT A LARKIN COMPANY, INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2008

Series 63

Date: 10/20/1987

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1985

Series 24

Date: 4/30/1987

Series 4

Date: 11/25/1985

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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