Ronnie J. Soto

CETERA INVESTMENT ADVISERS

SALEM, OR

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CRD#: 2058674

Professional summary

Ronnie John Soto, who also goes by Ron Soto, Ronnie Alex Soto, Ronnie John Soto Jr, Ronnie Soto, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salem, Oregon and CETERA ADVISORS LLC located in Salem, Oregon.

Ronnie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Ronnie has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 15 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Soto | Ronnie Alex Soto | Ronnie John Soto Jr | Ronnie Soto

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 Ronnie John Soto'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SALEM, OR

Current

December 1, 2020 - Present

CETERA ADVISORS LLC

CRD#: 10299

SALEM, OR

Past

December 1, 2020 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

SALEM, OR

Past

April 24, 2018 - December 2, 2020

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SALEM, OR

Past

April 24, 2018 - December 2, 2020

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SALEM, OR

Past

February 10, 2014 - April 19, 2018

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

KEIZER, OR

Past

February 4, 2014 - April 19, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

KEIZER, OR

Past

November 23, 2009 - February 4, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALEM, OR

Past

November 23, 2009 - February 4, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALEM, OR

Past

January 16, 2009 - November 11, 2009

WADDELL & REED

RIA

CRD#: 866

SALEM, OR

Past

July 8, 2008 - November 11, 2009

WADDELL & REED

CRD#: 866

SALEM, OR

Past

July 10, 1992 - November 30, 1992

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

Past

February 7, 1992 - July 7, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

Past

May 16, 1990 - July 25, 1990

K MICHAEL & COMPANY

CRD#: 17881

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

Arizona
(12/1/2020)

California
(12/1/2020)

Nevada
(10/9/2024)

Oregon
(12/1/2020)

IAR

Oregon
(3/21/2024)

Virginia
(1/2/2025)

Washington
(12/3/2020)

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 66

Date: 8/1/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/14/1992

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: 7/7/2008

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 5/14/1990

Foreign Currency Options 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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Advisor Monitoring

Firm Stability Insights

Ronnie J. Soto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronnie John Soto's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WADDELL & REED

WADDELL & REED

PAULSON INVESTMENT COMPANY LLC

CHATFIELD DEAN & CO., INC.

K MICHAEL & COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2008

Series 63

Date: 2/14/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2008

Series 15

Date: 5/14/1990

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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