Anne M. Rubeo

CETERA INVESTMENT ADVISERS LLC

NESCONSET, NY 11767

Some features on this profile are disabled

CRD#: 1834109

Professional summary

Anne Marie Rubeo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Nesconset, New York and CETERA WEALTH SERVICES, LLC located in Nesconset, New York.

Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Anne has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

INDEPENDENT INSURANCE AGENT (DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 10 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 3/1988

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Marie Rubeo'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 207 Smithtown Blvd, Nesconset, NY 11767

RIA

CRD#: 105644

NESCONSET, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 207 Smithtown Blvd, Nesconset, NY 11767

CRD#: 13572

Nesconset, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

OSSINING, NY

Past

August 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ELMSFORD, NY

Past

January 23, 1996 - January 28, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA

CRD#: 8503

WHITE PLAINS, NY

Past

January 21, 1996 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

June 19, 1990 - December 12, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 1, 1988 - June 15, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 1, 1988 - June 15, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

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

Connecticut
(9/3/2013)

Florida
(9/3/2013)

Massachusetts
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

North Carolina
(9/22/2021)

South Carolina
(11/5/2020)

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 65

Date: 3/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1988

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: 6/15/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/31/1988

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Gregory Harris

PFS INVESTMENTS INC.

Farmingdale, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anne M. Rubeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Marie Rubeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NEW ENGLAND SECURITIES

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/1999

Series 63

Date: 7/7/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1998

Series 6

Date: 5/31/1988

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

Similar Advisors