Alison Epstein

CETERA INVESTMENT ADVISERS LLC

NEW YORK, NY

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CRD#: 1560197

Professional summary

Alison Epstein, CFP®, who also goes by Allison Epstein, Alison Granowitz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.

Alison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Alison has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allison Epstein | Alison Granowitz

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) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LTC FOR JOHN HANCOCK FROM BUSINESS ADDRESS FOR 2 WKDY HRS/WK SINCE 1/1990. (2) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC, MEDICARE RELATED PRODUCTS FROM BUSINESS ADDRESS FOR 4 WKDY AND 4 EVE/WKND HRS/WK SINCE 1/1995. (3) ALISON EPSTEIN, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TAX PREPARATION, STARTED 8/2012, OWNER, APX 1 HOUR PER WEEK, VARIES DURING TRADING HOURS, TAX PREP AND BOOKING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Epstein'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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEW YORK, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEW YORK, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 26, 2010 - November 30, 2012

VICUS CAPITAL, INC.

RIA

CRD#: 116021

NEW YORK, NY

Past

August 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

NEW YORK, NY

Past

May 22, 1992 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

May 15, 1990 - May 28, 1992

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

October 22, 1986 - May 17, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(9/3/2013)

California
(9/3/2013)

Connecticut
(9/3/2013)

District of Columbia
(8/18/2014)

Florida
(9/3/2013)

Georgia
(9/3/2013)

Illinois
(7/11/2017)

Maine
(1/16/2025)

Maryland
(9/3/2013)

Massachusetts
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

Pennsylvania
(9/3/2013)

Rhode Island
(8/2/2018)

Virginia
(9/3/2013)

Washington
(4/16/2018)

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

Series 63

Date: 9/15/1986

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: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/2001

General Securities 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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Alison Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VICUS CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Series 24

Date: 8/13/2001

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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