Amy J. Kaufman
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.
Amy Jill Kaufman, AIF®, who also goes by Amy Jill Katepalli, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1997. Amy had worked at 11 firms and has passed the Series 66, Series 63, SIE 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
June 29, 2023 - February 24, 2025
CETERA INVESTMENT ADVISERS LLC
May 27, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
May 26, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 3, 2016 - February 24, 2025
CETERA INVESTMENT SERVICES LLC
February 3, 2016 - February 24, 2025
CETERA FINANCIAL SPECIALISTS LLC
February 3, 2016 - February 24, 2025
CETERA ADVISORS LLC
November 16, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 21, 2015 - February 24, 2025
CETERA WEALTH SERVICES, LLC
May 31, 2006 - December 20, 2007
CHARLES SCHWAB & CO., INC.
November 8, 2005 - May 15, 2006
CHASE INVESTMENT SERVICES CORP.
November 1, 2004 - October 28, 2005
CITISTREET EQUITIES LLC
June 15, 1998 - October 26, 2004
CHARLES SCHWAB & CO., INC.
May 20, 1997 - April 21, 1998
SUNAMERICA 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
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.
