Alberto N. Panzeca

CETERA INVESTMENT ADVISERS LLC

ADDISON, IL 60101

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CRD#: 2103659

Professional summary

Alberto Natale Panzeca, who also goes by Albert Natale Panzeca, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Addison, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Addison, Illinois.

Alberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Alberto has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Albert Natale Panzeca

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) ALBERT N. PANZECA, CPA/NON-INVEST. RELATED, SAME ADDRESS AS REGISTERED LOCATION, ACCTG & TAX PRAC-OWNER, SOLE PROP SINCE 9/1/00-I PERFORM AUDITS, REVIEWS, COMPILATIONS, TAX SERVICES, TAX RETURNS, BOOKKEEPING SERVICE, ETC-OWNER/40-60HR/WK. 2)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 08/2018 INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS HEALTH, PROPERTY AND CASUALTY UNDER SOLE PROPRIETORSHIP. 3)ADDISON POLICE PENSION FUND, NOT INVESTMENT RELATED, 1 FRIENDSHIP PLAZA, ADDISON, IL, 60101, NON-PROFIT, STARTED 09/2019, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, NOT TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ADMINISTRATION OF PROGRAM AND CONSIDERATIONS OF CLAIMS. NO INVESTMENT RECOMMENDATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Natale Panzeca'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

December 12, 2016 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 881 West Lake Street, Addison, IL 60101

RIA

CRD#: 105644

ADDISON, IL

Current

November 5, 2001 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 881 West Lake Street, Addison, IL 60101

CRD#: 10358

Addison, IL

Past

October 4, 1993 - December 14, 2001

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

September 14, 1992 - December 31, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 5, 1991 - August 31, 1992

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

December 14, 1990 - September 4, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 14, 1990 - September 4, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Illinois
(11/5/2001)

IAR

Illinois
(12/12/2016)

Indiana
(9/13/2017)

New York
(1/3/2017)

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 65

Date: 11/28/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1991

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: 12/13/1990

Investment Company Products/Variable Contracts Representative 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
11/18/2022	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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Alberto N. Panzeca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Natale Panzeca's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX INVESTMENT SERVICES, INC.

NEW ENGLAND SECURITIES

KEMPER FINANCIAL SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/28/2016

Series 63

Date: 3/13/1991

SIE

Date: 10/1/2018

Series 6

Date: 12/13/1990

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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