HA
Henry Alava
CETERA INVESTMENT ADVISERS LLC
TAMPA, FL 33618
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CRD#: 1878718
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Professional summary
Henry Alava, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Tampa, Florida.
Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Henry has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 62 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) BENEFITS CONSULTING,INC-INVESTMENT RELATED-OWN BCI WHICH IS AN INSURANCE AGENCY. PROVIDES EMPLOYEE BENEFITS SUCH AS GROUP BENEFITS,RETIREMENT PROGRAMS. PERSONAL INSURANCE & FINANCIAL PLANNING-PRESIDENT-SD:8/95-MARKETING,SALESCUSTOMER SEVICE & ALL OPERATIONAL FUNCTIONS WHICH MAY BE NEEDED-50 HOUR WORK WEEK. 2) ONE RESOURCE GROUP, NON-INVESTMENT RELATED, HEALTH INSURANCE SALES, SAME ADDRESS AS REGISTERED LOCATION: 3) NAME OF OTHER BUSINESS: ST. TIMOTHY CATHOLIC CHURCH MEN'S CLUB; INVESTMENT RELATED: NO; ADDRESS: 17512 LAKESHORE RD LUTSZ, FL 33558; NATURE OF BUSINESS: NON PROFIT; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/SOCIAL CHAIR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ARRANGE SOCIAL EVENTS AND MEALS FOR THE CHURCH COMMUNITY;
CRS (Client Relationship Summary) - RIA
Click below to view Henry Alava's 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®
CFP®
Start date: 2001
Experience
Current
October 25, 2005 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15610 Walden Avenue, Tampa, FL 33618RIA
CRD#: 105644
TAMPA, FL
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
TAMPA, FL
Past
July 12, 2000 - November 1, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
June 20, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
July 20, 1999 - June 19, 2000
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
January 6, 1998 - July 22, 1999
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
COLORADO SPRINGS, CO
Past
March 12, 1994 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 3, 1988 - March 9, 1993
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 3, 1988 - March 9, 1993
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Colorado(12/13/2023)
RR
Florida(10/24/2005)
IAR
Florida(10/25/2005)
RR
North Carolina(1/16/2018)
RR
Ohio(2/19/2016)
RR
Oklahoma(12/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/29/2015
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tampa, FL 33618TRUST BUT VERIFY
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