Teri C. Yamamura

CETERA INVESTMENT ADVISERS LLC

SUNNYVALE, CA 94086

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CRD#: 2427738

Professional summary

Teri Chieko Yamamura is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sunnyvale, California and CETERA ADVISORS LLC located in Sunnyvale, California.

Teri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Teri has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.) Teri Yamamura; Secret Shopper; Consulting; Start date 10/15/2015; 20 hours per month. 2.) YOGA INSTRUCTOR; START DATE 11/12/2020; 40 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Teri Chieko Yamamura'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1294 Kifer Road Suite 707, Sunnyvale, CA 94086Office #2: 2620 Augustine Drive Suite 230, Santa Clara, CA 95054

RIA

CRD#: 105644

SUNNYVALE, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1294 Kifer Road Suite 707, Sunnyvale, CA 94086

CRD#: 10299

Sunnyvale, CA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SUNNYVALE, CA

Past

March 30, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SUNNYVALE, CA

Past

February 11, 2002 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SUNNYVALE, CA

Past

April 4, 1995 - February 11, 2002

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

December 15, 1993 - January 23, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Arizona
(9/8/2022)

IAR

California
(11/12/2020)

California
(9/8/2022)

Colorado
(9/8/2022)

Nevada
(2/22/2023)

New York
(4/29/2024)

Oregon
(9/8/2022)

Virginia
(4/27/2023)

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

IAR

Series 66

Date: 4/11/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/28/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/14/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/1997

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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Teri C. Yamamura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Teri Chieko Yamamura's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2001

Series 63

Date: 12/23/1993

SIE

Date: 10/1/2018

Series 31

Date: 12/28/1993

Series 7

Date: 12/14/1993

Series 24

Date: 1/8/1997

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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