Sofia S. Malachowsky
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.
Sofia S Malachowsky, ChFC®, CLU®, who also goes by Sofia Malachowsky, Sofia S Malachowsky, was a registered financial professional .
Sofia is a previously registered financial professional and started their career in finance in 1993. Sofia had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2026 - July 21, 2026
CETERA INVESTMENT ADVISERS LLC
February 13, 2026 - July 21, 2026
CETERA ADVISORS LLC
November 22, 2024 - December 15, 2025
SAMMONS FINANCIAL NETWORK, LLC
January 13, 2023 - November 5, 2024
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 23, 2021 - January 11, 2023
KESTRA INVESTMENT SERVICES, LLC
April 13, 2018 - April 17, 2019
KESTRA INVESTMENT SERVICES, LLC
August 16, 2012 - January 16, 2018
P.J. ROBB VARIABLE, LLC
January 1, 2005 - September 7, 2010
JOHN HANCOCK DISTRIBUTORS LLC
February 28, 2003 - January 1, 2005
SIGNATOR INVESTORS, INC.
October 25, 1999 - July 8, 2002
TOWER SQUARE SECURITIES, INC.
September 27, 1996 - February 12, 1998
CHASE INVESTMENT SERVICES CORP.
August 4, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
January 5, 1993 - December 9, 1993
METROPOLITAN LIFE INSURANCE COMPANY
January 5, 1993 - December 9, 1993
MSI FINANCIAL SERVICES, 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 |
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.
