Debra J. Gallegos-caldwell

CETERA INVESTMENT ADVISERS

MESA, AZ 85204

CRD#: 1476422

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Professional summary

Debra J Gallegos-caldwell, who also goes by Debra Jo Caldwell, Debra Jo Gallegos-caldwell, Debra Jo Gallegoscaldwell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mesa, Arizona and CETERA WEALTH SERVICES, LLC located in Mesa, Arizona.

Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Debra has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Debra Jo Caldwell | Debra Jo Gallegos-Caldwell | Debra Jo Gallegoscaldwell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra J Gallegos-caldwell'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2444 E Southern Ave Ste 112, Mesa, AZ 85204

RIA

CRD#: 105644

MESA, AZ

Current

August 13, 2008 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2444 E Southern Ave Ste 112, Mesa, AZ 85204

CRD#: 13572

Mesa, AZ

Past

December 18, 2008 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Brentwood, CA

Past

December 9, 2005 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

MESA, AZ

Past

February 15, 2005 - December 16, 2005

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

October 8, 1999 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

March 27, 1997 - September 23, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 4, 1992 - January 29, 1997

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

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
(8/13/2008)

IAR

Arizona
(6/29/2023)

California
(8/13/2008)

Colorado
(2/10/2009)

Georgia
(9/11/2023)

New Jersey
(1/8/2018)

New Mexico
(8/13/2008)

Ohio
(2/14/2022)

Pennsylvania
(4/22/2026)

Virginia
(4/18/2012)

Washington
(5/27/2026)

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: 12/1/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/1992

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: 10/25/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/12/1993

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1992

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

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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Debra J. Gallegos-caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra J Gallegos-caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

SUNAMERICA SECURITIES, INC.

FFP SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2008

Series 65

Date: 2/18/1999

Series 63

Date: 5/26/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/25/1994

Series 22

Date: 11/12/1993

Series 6

Date: 7/14/1992

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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