Ariel Monsivais

CETERA INVESTMENT ADVISERS LLC

Romeoville, IL

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CRD#: 2219198

Professional summary

Ariel Monsivais JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Romeoville, Illinois and CETERA WEALTH SERVICES, LLC located in Romeoville, Illinois.

Ariel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ariel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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. NAME OF OTHER BUSINESS: LOWES HOME IMPROVEMENT INVESTMENT RELATED: YES ADDRESS: 245 S WEBER BOLINGBROOK, IL 60490 NATURE OF BUSINESS: RETAIL START DATE: 07/2018 POSITION/TITLE/RELATIONSHIP: CUSTOMER SERVICE APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CUSTOMER SERVICE 2. NAME OF OTHER BUSINESS: ARIEL WEALTH PARTNERS LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2023 POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 45 BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, PROVIDING BROKERAGE AND ADVISORY SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ariel Monsivais JR'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®

CFP^®

Certified Financial Planner

CRD#: 4806

OAKBROOK, IL

Past

December 15, 1999 - September 11, 2000

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

December 18, 1997 - October 9, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 13, 1995 - November 21, 1997

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

April 13, 1992 - August 19, 1992

FRANKLIN-LORD, INC.

CRD#: 6756

SCOTTSDALE, AZ

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

Florida
(9/29/2023)

Georgia
(6/6/2025)

Illinois
(9/29/2023)

IAR

Illinois
(9/29/2023)

Indiana
(9/29/2023)

Iowa
(10/25/2023)

Wisconsin
(9/29/2023)

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: 6/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/11/1995

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: 7/11/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2001

General Securities 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
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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Firm Stability Insights

Ariel Monsivais

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ariel Monsivais JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

LASALLE FINANCIAL SERVICES, INC.

IFMG SECURITIES, INC.

FIRSTAR INVESTMENT SERVICES,INC.

FRANKLIN-LORD, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/12/2006

Series 63

Date: 9/11/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/11/1995

Series 24

Date: 2/21/2001

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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