Albert G. Calvi
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.
Albert George Calvi JR, who also goes by Al Calvi Jr, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1985. Albert had worked at 9 firms and has passed the SIE, Series 6 and Series 26 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 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - December 31, 2023
CETERA WEALTH SERVICES, LLC
January 24, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 28, 1997 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 11, 1996 - January 27, 1997
NEW ENGLAND SECURITIES
June 18, 1993 - April 10, 1996
MML INVESTORS SERVICES, LLC
August 5, 1992 - March 11, 1993
PRUCO SECURITIES, LLC.
September 1, 1987 - July 6, 1992
METROPOLITAN LIFE INSURANCE COMPANY
September 1, 1987 - July 6, 1992
MSI FINANCIAL SERVICES, INC.
March 21, 1985 - April 20, 1987
PRUCO SECURITIES, 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
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 | ||
| 11/18/2022 |
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.
