Sheila R. Zirretta
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.
Sheila Rae Zirretta, who also goes by Sheila Barnum, Sheila Gallwey, Hentze Hentze, Sheila Rae Hentze, Sheila Rae Hunter, Sheila Hunter, Sheila Petrie, Sheila Rae Plahn, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 1987. Sheila had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2005 - August 8, 2012
CETERA INVESTMENT ADVISERS LLC
July 12, 2005 - August 8, 2012
CETERA FINANCIAL SPECIALISTS LLC
October 19, 2001 - September 18, 2003
LASALLE FINANCIAL SERVICES, INC.
January 21, 2000 - September 18, 2003
LASALLE FINANCIAL SERVICES, INC.
January 27, 1998 - July 29, 1999
VOYA FINANCIAL ADVISORS, INC.
May 16, 1996 - January 21, 1998
WATERSTONE FINANCIAL GROUP, INC.
October 29, 1993 - March 22, 1995
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
June 7, 1991 - January 26, 1993
CAPITAL BROKERAGE CORPORATION
January 10, 1991 - April 12, 1991
MACK INVESTMENT SECURITIES, INC.
September 10, 1990 - December 11, 1990
IFR SECURITIES, INC.
August 15, 1989 - July 13, 1990
1717 CAPITAL MANAGEMENT COMPANY
January 6, 1988 - August 22, 1989
PRUCO SECURITIES, LLC.
September 24, 1987 - November 19, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
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.
