Lorraine R. Zeplinski
Professional summary
Lorraine Rita Zeplinski, who also goes by Lorraine R Zeplinski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Philadelphia, Pennsylvania.
Lorraine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Lorraine has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lorraine Rita Zeplinski's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1650 Market St Suite 3600, Philadelphia, PA 19103June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
March 23, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
September 4, 1996 - January 1, 2004
LOCUST STREET SECURITIES, INC.
September 11, 1994 - September 9, 1996
CONSECO FINANCIAL SERVICES, INC.
May 17, 1993 - September 15, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 17, 1993 - September 15, 1994
SIGNATOR INVESTORS, INC.
January 21, 1985 - February 9, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 21, 1985 - February 9, 1993
EQUITABLE ADVISORS, LLC
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
(6/9/2021)
(6/10/2021)
(6/9/2021)
(6/9/2021)
(6/9/2021)
(6/29/2023)
Exams
FINRA
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 | ||
| 11/18/2022 |
Red Flags
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