Anna G. Molin
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.
Anna Gloria Molin, CFP®, who also goes by Anna G. Martin, Anna Gloria Martin, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1987. Anna had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
June 3, 2015 - July 1, 2016
CETERA INVESTMENT ADVISERS LLC
June 1, 2015 - July 1, 2016
CETERA INVESTMENT SERVICES LLC
October 15, 2013 - March 15, 2014
OSAIC FA, INC.
September 18, 2013 - March 15, 2014
OSAIC FA, INC.
October 28, 2010 - September 29, 2011
MSI FINANCIAL SERVICES, INC.
October 18, 2010 - September 29, 2011
MSI FINANCIAL SERVICES, INC.
March 19, 2010 - June 11, 2010
NYLIFE SECURITIES LLC
May 29, 2007 - October 27, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 27, 2009
CITIGROUP GLOBAL MARKETS INC.
April 19, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 19, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
September 19, 2006 - December 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 2006 - December 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2004 - June 9, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 2004 - June 9, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 6, 2002 - August 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2002 - August 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2002 - July 31, 2002
TD WEALTH MANAGEMENT SERVICES INC.
April 25, 2001 - April 24, 2002
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
April 7, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
October 11, 1996 - December 10, 1996
FISERV INVESTOR SERVICES, INC.
November 23, 1987 - March 23, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 1987 - November 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.
