Samuel C. Saucedo

CETERA INVESTMENT SERVICES LLC

El Segundo, CA 90245

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CRD#: 2279026

Professional summary

Samuel Cesar Saucedo, who also goes by Sam Saucedo, Samuel C. Saucedo, Samuel Cesar Saucedo, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1992. Samuel has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Saucedo | Samuel C. Saucedo | Samuel Cesar Saucedo

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) - BD

Click below to view Samuel Cesar Saucedo'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

May 16, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

May 16, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

May 16, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

May 16, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

July 22, 2022 - November 1, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Houston, TX

Past

December 11, 2014 - June 28, 2022

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

April 18, 2007 - November 10, 2014

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

May 15, 2006 - February 13, 2007

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

August 13, 2004 - May 5, 2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 18, 2002 - August 31, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 8, 2002 - December 31, 2002

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

June 20, 2001 - October 19, 2001

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

September 20, 1995 - August 19, 1999

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

March 9, 1993 - October 27, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 23, 1992 - January 27, 1993

CHELSEA STREET SECURITIES, INC.

CRD#: 17548

State Registrations and Notice Filings

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

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

Texas
(5/16/2025)

Exams

State Security Law Exam

Series 63

Date: 9/18/1992

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: 10/21/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Samuel C. Saucedo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Cesar Saucedo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CHARLES SCHWAB & CO., INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

RAFFERTY CAPITAL MARKETS, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

IFMG SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DW INC.

CHELSEA STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1992

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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