Sandra L. Caluya
Professional summary
Sandra Lee Caluya, who also goes by Sandra L Caluya, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glendale, California and CETERA WEALTH SERVICES, LLC located in Glendale, California.
Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Sandra has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sandra Lee Caluya's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
February 17, 2021 - Present
CETERA WEALTH SERVICES, LLC
February 17, 2021 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
February 17, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
January 8, 2020 - October 14, 2020
D.A. DAVIDSON & CO.
January 7, 2020 - October 14, 2020
D.A. DAVIDSON & CO.
April 29, 2013 - December 31, 2019
CETERA WEALTH SERVICES, LLC
March 21, 2011 - December 31, 2019
CETERA WEALTH SERVICES, LLC
June 4, 2010 - February 23, 2011
FSC SECURITIES CORPORATION
September 7, 1999 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
November 3, 1997 - September 24, 1999
GOLDMAN SACHS & CO. LLC
June 15, 1992 - April 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 1989 - May 13, 1992
WELLS FARGO SECURITIES INC.
February 23, 1988 - May 4, 1989
WEDBUSH SECURITIES 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
(2/28/2024)
(2/17/2021)
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(1/5/2023)
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(10/16/2024)
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(6/29/2023)
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
