Ira L. Aguado

CETERA INVESTMENT ADVISERS LLC

Garden City, NY 11530

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CRD#: 1706754

Professional summary

Ira Leslie Aguado is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Garden City, New York and CETERA INVESTMENT SERVICES LLC located in Garden City, New York.

Ira is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ira has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. OWNER OF AGUADO CAPITAL MANAGEMENT; DBA FOR CETERA BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ira Leslie Aguado'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

May 21, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1325 Franklin Avenue; Suite 255, Garden City, NY 11530

RIA

CRD#: 105644

Garden City, NY

Current

April 14, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1325 Franklin Avenue Suite 255, Garden City, NY 11530

CRD#: 15340

Garden City, NY

Past

September 3, 2008 - April 27, 2020

LPL FINANCIAL LLC

CRD#: 6413

ROSLYN, NY

Past

June 21, 2006 - September 2, 2008

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

GARDEN CITY, NY

Past

October 5, 2005 - June 21, 2006

PFIC SECURITIES CORPORATION

CRD#: 34941

WOODBURY, NY

Past

April 5, 2004 - October 5, 2005

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

December 20, 2002 - April 5, 2004

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

May 1, 2002 - January 3, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

February 25, 2002 - May 1, 2002

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

November 10, 1997 - January 17, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 1, 1996 - November 26, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 11, 1994 - December 7, 1995

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

September 22, 1987 - March 15, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

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".

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
(8/25/2021)

California
(4/14/2020)

Connecticut
(3/31/2021)

Florida
(4/15/2020)

Indiana
(10/6/2025)

Minnesota
(5/7/2021)

New Jersey
(5/22/2020)

New York
(4/14/2020)

IAR

New York
(5/21/2021)

North Carolina
(4/14/2020)

Pennsylvania
(5/28/2024)

South Carolina
(5/28/2020)

Texas
(7/31/2020)

IAR

Texas
(1/12/2023)

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: 3/15/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/1987

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: 2/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/2/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/21/1987

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
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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Advisor Monitoring

Firm Stability Insights

Ira L. Aguado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ira Leslie Aguado's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

ESSEX NATIONAL SECURITIES, LLC

PFIC SECURITIES CORPORATION

FISERV INVESTOR SERVICES, INC.

PFIC SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

DIME SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

GUARDIAN INVESTOR SERVICES LLC

MONY SECURITIES CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2017

Series 63

Date: 9/28/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/22/2001

Series 22

Date: 5/2/1988

Series 6

Date: 9/21/1987

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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