AK
Ali Kazemi
CETERA INVESTMENT ADVISERS LLC
PIEDMONT, CA
Some features on this profile are disabled
CRD#: 1546765
AK
Professional summary
Ali Kazemi, who also goes by S Hossein Ali Kazemi, Sepi A Kazemi, Sepi Ali Kazemi, Sepi Kazemi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Piedmont, California and CETERA WEALTH SERVICES, LLC located in Piedmont, California.
Ali is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ali has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
S Hossein Ali Kazemi | Sepi A Kazemi | Sepi Ali Kazemi | Sepi Kazemi
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) KAZEMI FAMILY TRUST POSITION: Trustee NATURE: This is our Family Revocable Trust that controls our family home and bank accounts. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/14/2010 ADDRESS: 190- Estates Drive, Piedmont, CA 94611, United States DESCRIPTION: This trust is set up purely for our children, as beneficiaries. My wife and I are the sole trustees. I have no duties in relation to our family trust. 2) KIAN FINANCIAL SERVICES, INC. POSITION: Chief Executive Officer NATURE: I will move over only commissions needed to pay office expenses from doing Avantax business and taxes to this entity, Kian Financial Services, Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/24/2009 ADDRESS: 3610 AMERICAN RIVER DR, SUITE 120, SACRAMENTO, CA 95864, United States DESCRIPTION: pay Avantax business expenses, pay rent, pay licensing and technology fees, pay registration fees, pay any advertising or marketing expenses, and pay taxes 3) IN-HOME SUPPORTIVE SERVICES POSITION: Associate NATURE: The In-Home Supportive Services (IHSS) program provides in-home assistance to eligible aged, blind, and disabled individuals as an alternative to out-of-home care and enables recipients to remain safely in their own homes.? INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2022 ADDRESS: 6955 Foothill Blvd #100 Oakland, CA 94605 (510) 263-2420, Oakland, CA 94605, United States DESCRIPTION: Personal care services like dressing, bathing, feeding, and toileting. Paramedical services like helping with injections, wound care, colostomy, and catheter care under the direction of a licensed medical professional. House cleaning, Cooking, Shopping, Laundry, Accompaniment to and from medical appointments. 4) SENTINEL FINANCIAL GROUP POSITION: owner. NATURE: I will offer financial planning, investment planning, retirement planning, and tax planning services under this DBA name. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 07/15/2024 ADDRESS: 190 Estates Drive, Piedmont, CA 94611, United States DESCRIPTION: I will meet with clients, review investment performance, and update their financial suitability and financial goals.
CRS (Client Relationship Summary) - RIA
Click below to view Ali Kazemi's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PIEDMONT, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Piedmont, CA
Past
July 10, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Piedmont, CA
Past
July 9, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Piedmont, CA
Past
April 29, 2021 - July 17, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
PIEDMONT, CA
Past
April 28, 2021 - July 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PIEDMONT, CA
Past
June 13, 2018 - April 29, 2021
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SAN FRANCISCO, CA
Past
June 13, 2018 - April 29, 2021
OSAIC SERVICES, INC.
BD
CRD#: 133763
SAN FRANCISCO, CA
Past
July 23, 2009 - June 14, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SAN FRANCISCO, CA
Past
July 23, 2009 - June 14, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SAN FRANCISCO, CA
Past
October 11, 2000 - July 30, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
PINOLE, CA
Past
September 13, 2000 - July 30, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PINOLE, CA
Past
June 25, 1999 - November 30, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
August 20, 1998 - August 23, 1999
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
May 13, 1994 - August 21, 1998
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 7, 1993 - August 18, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 7, 1993 - August 18, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 12, 1992 - May 14, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
May 7, 1991 - October 9, 1992
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
December 9, 1987 - May 10, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Pennsylvania(9/19/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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.
