Ray S. Greenberg

CETERA INVESTMENT ADVISERS LLC

HOLLAND, PA 18966

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CRD#: 228805

Professional summary

Ray S Greenberg, CFP®, who also goes by Ray S Greenberg, Raymond S Greenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Holland, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Holland, Pennsylvania.

Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Ray has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray S Greenberg | Raymond S Greenberg

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.

(dba) FINANCIAL EXPERTISE; Investment Related; 207 Buck Road, Ste 7, Holland, PA 18966; Insurance and Investments; Owner/Financial Professional; Start Date 01/2004; 200 hours more or less per month with the majority of hours per month occurring during trading hours; Sales and service of insurance products as well as life settlements with varied insurance carriers. >> SOUTHAMPTON FREE LIBRARY; Non-Investment Related; 947 Street Road, Southampton, PA 48966; Library; Board Member; Start Date 05/2010; 3 hours per month; Board Member duties. >> QUAINT OAK BANK; Non-Investment Related; 501 Knowles Avenue, Southampton, PA 18966; Bank; Board Member; Start Date 11/2016; 2 hours per month; Participate with other board members in the short and long term planning of the bank as well as the establishment of broad procedures for bank operations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray S Greenberg'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

Start date: 1990

Experience

Current

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 207 Buck Road Suite 7, Holland, PA 18966

RIA

CRD#: 105644

HOLLAND, PA

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 207 Buck Road Suite 7, Holland, PA 18966

CRD#: 13572

Holland, PA

Past

February 2, 2006 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Holland, PA

Past

January 12, 2004 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Holland, PA

Past

September 10, 1999 - January 2, 2004

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 8, 1998 - September 2, 1999

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 1, 1996 - March 27, 1998

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

November 11, 1991 - January 1, 1996

WEALTH BUILDERS EQUITY CORPORATION

CRD#: 22152

Past

November 11, 1986 - February 12, 1991

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

September 8, 1982 - November 7, 1984

CADARET, GRANT & CO., INC.

CRD#: 10641

Past

May 4, 1978 - December 2, 1982

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

Past

May 8, 1969 - May 17, 1976

CONTINENTAL SECURITIES CORPORATION

CRD#: 1528

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

California
(2/20/2025)

Delaware
(2/20/2025)

Florida
(2/20/2025)

New Jersey
(2/20/2025)

New York
(2/20/2025)

Ohio
(5/9/2025)

Pennsylvania
(2/20/2025)

IAR

Pennsylvania
(2/20/2025)

South Carolina
(8/8/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Virginia
(2/20/2025)

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

Series 63

Date: 9/20/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/21/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 4/14/1969

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

Ray S. Greenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray S Greenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PARK AVENUE SECURITIES LLC

WS GRIFFITH SECURITIES, INC.

IFG NETWORK SECURITIES, INC.

WEALTH BUILDERS EQUITY CORPORATION

USLIFE EQUITY SALES CORP.

CADARET, GRANT & CO., INC.

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CONTINENTAL SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/1996

Series 65

Date: 7/21/1994

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 24

Date: 1/2/2023

Series 00

Date: 4/14/1969

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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