Sofia S. Malachowsky

CETERA INVESTMENT ADVISERS LLC

Incline Village, NV

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CRD#: 2035644

Professional summary

Sofia S Malachowsky, ChFC®, CLU®, who also goes by Sofia Malachowsky, Sofia S Malachowsky, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Incline Village, Nevada and CETERA ADVISORS LLC located in New York City, New York.

Sofia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sofia has worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sofia Malachowsky | Sofia S Malachowsky

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sofia S Malachowsky'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 17, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Incline Village, NV

Current

February 13, 2026 - Present

CETERA ADVISORS LLC

Office #1: 3 Columbus Cir Suite 1524, New York City, NY 10019

CRD#: 10299

NEW YORK CITY, NY

Past

November 22, 2024 - December 15, 2025

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

January 13, 2023 - November 5, 2024

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Incline Village, NV

Past

August 23, 2021 - January 11, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

FORT WORTH, TX

Past

April 13, 2018 - April 17, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Incline Village, NV

Past

August 16, 2012 - January 16, 2018

P.J. ROBB VARIABLE, LLC

CRD#: 38339

INCLINE VILLAGE, NV

Past

January 1, 2005 - September 7, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

February 28, 2003 - January 1, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 25, 1999 - July 8, 2002

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

September 27, 1996 - February 12, 1998

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

August 4, 1994 - December 31, 1995

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

January 5, 1993 - December 9, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 5, 1993 - December 9, 1993

MSI FINANCIAL SERVICES, INC.

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".

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

California
(2/13/2026)

Nevada
(2/17/2026)

IAR

Nevada
(2/17/2026)

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

Series 63

Date: 4/19/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/2/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/28/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

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

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.

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Sofia S. Malachowsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sofia S Malachowsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

SAMMONS FINANCIAL NETWORK, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

P.J. ROBB VARIABLE, LLC

JOHN HANCOCK DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

TOWER SQUARE SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CONSECO SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/2023

SIE

Date: 10/1/2018

Series 6

Date: 1/2/1993

Series 26

Date: 10/28/1996

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

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