Yelena Valencia
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.
Yelena Valencia, who also goes by Yelena Tkach, was a registered financial professional .
Yelena is a previously registered financial professional and started their career in finance in 1994. Yelena had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - December 31, 2014
CETERA INVESTMENT ADVISERS LLC
January 3, 2011 - December 31, 2014
CETERA FINANCIAL SPECIALISTS LLC
October 13, 2009 - November 4, 2010
SECURITIES AMERICA, INC.
April 8, 2009 - September 30, 2009
NATIONWIDE SECURITIES, LLC
February 8, 2007 - February 14, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
August 5, 2003 - December 31, 2005
PFS INVESTMENTS INC.
July 2, 1999 - October 8, 2001
EDWARD JONES
July 14, 1997 - April 16, 1999
WAMU INVESTMENTS, INC.
March 27, 1997 - July 14, 1997
ASB FINANCIAL SERVICES
July 17, 1996 - April 1, 1997
BNY MELLON SECURITIES CORPORATION
October 25, 1995 - July 11, 1996
FIMCO SECURITIES GROUP, INC.
February 11, 1994 - October 17, 1995
PFS INVESTMENTS INC.
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
Current 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 | ||
| 11/18/2022 |
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.
