Efrain Sanchez
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.
Efrain Sanchez was a registered financial professional .
Efrain is a previously registered financial professional and started their career in finance in 1996. Efrain had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2018 - May 17, 2024
CETERA INVESTMENT ADVISERS LLC
January 19, 2018 - May 17, 2024
CETERA INVESTMENT SERVICES LLC
January 15, 2014 - January 2, 2018
NATIONAL PLANNING CORPORATION
March 22, 2011 - January 2, 2018
NATIONAL PLANNING CORPORATION
June 6, 2002 - December 15, 2009
CETERA WEALTH SERVICES, LLC
June 30, 1999 - December 31, 2001
CNS DISTRIBUTORS, INC.
December 19, 1997 - February 12, 1999
INTERFIRST CAPITAL CORPORATION
August 12, 1997 - December 10, 1997
STOCKS 4 LESS, INC.
February 25, 1997 - December 10, 1997
NATIONAL CLEARING CORP.
June 14, 1996 - December 31, 1996
ASB FINANCIAL SERVICES
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
