AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AA

Adam N. Antoniades

Some features on this profile are disabled
CRD#: 2261744
AA

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.

Adam Nicholas Antoniades was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 1994. Adam had worked at 13 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 20, 2015 - April 4, 2025

CETERA INVESTMENT MANAGEMENT LLC

RIA
CRD#: 165436
SAN DIEGO, CA
Past

May 20, 2015 - April 23, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SAN DIEGO, CA
Past

June 27, 2014 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SAN DIEGO, CA
Past

June 27, 2014 - November 5, 2025

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
SAN DIEGO, CA
Past

June 27, 2014 - November 5, 2025

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SAN DIEGO, CA
Past

June 27, 2014 - November 5, 2025

CETERA ADVISORS LLC

BD
CRD#: 10299
SAN DIEGO, CA
Past

June 27, 2014 - April 23, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SAN DIEGO, CA
Past

July 2, 2012 - December 11, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
SAN DIEGO, CA
Past

June 13, 2005 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
SAN DIEGO, CA
Past

June 13, 2005 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

November 17, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

RIA
CRD#: 35223
ALAMO, CA
Past

November 11, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

August 24, 2004 - November 17, 2006

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

August 23, 2004 - November 17, 2006

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

September 18, 1997 - October 1, 2004

WESTERN SECURITIES CLEARING CORP.

BD
CRD#: 36427
SAN DIEGO, CA
Past

April 26, 1996 - September 14, 2004

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
SAN DIEGO, CA
Past

October 27, 1994 - September 14, 2004

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

September 28, 1994 - February 28, 1995

DUNCAN CAPITAL LLC

BD
CRD#: 27332
NEW YORK, NY
Past

September 2, 1994 - September 16, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA

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".
CI
CETERA INVESTMENT MANAGEMENT LLC
CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA
Registered Investment Advisory firm - (1/3/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/1994
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/14/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/1/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/12/1994
General Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT MANAGEMENT LLC
CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA
Registered Investment Advisory firm - (1/3/2013 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1450 American Lane Suite 650, Schamburg, IL 60173
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

CETERA INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (3/28/2025)

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.

Company Information

CETERA INVESTMENT MANAGEMENT LLC

CRD#: 165436

TRUST BUT VERIFY

Monitor Adam Antoniades

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.