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MP

Mildred Patubo

CETERA INVESTMENT ADVISERS
SAN JOSE, CA 95123
Some features on this profile are disabled
CRD#: 2458479
MP
Mildred PatuboCETERA INVESTMENT ADVISERS

Professional summary

Mildred Patubo, who also goes by Mildred Patubo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Jose, California and CETERA INVESTMENT SERVICES LLC located in San Jose, California.

Mildred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Mildred has worked at 12 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Aliases

Mildred Patubo

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) - RIA

Click below to view Mildred Patubo'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

October 18, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5615 Chesbro Ave, San Jose, CA 95123
RIA
CRD#: 105644
SAN JOSE, CA
Current

October 17, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5615 Chesbro Avenue, San Jose, CA 95123
BD
CRD#: 15340
SAN JOSE, CA
Past

July 22, 2021 - October 19, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
Sacramento, CA
Past

June 23, 2021 - October 19, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
Sacramento, CA
Past

February 4, 2020 - May 12, 2021

SECURE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 141195
Pinole, CA
Past

December 23, 2015 - February 22, 2019

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN RAFAEL, CA
Past

December 22, 2015 - February 22, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN RAFAEL, CA
Past

June 16, 2011 - January 4, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CORTE MADERA, CA
Past

June 15, 2011 - January 4, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CORTE MADERA, CA
Past

June 29, 2010 - June 22, 2011

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
LARKSPUR, CA
Past

June 29, 2010 - June 22, 2011

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
LARKSPUR, CA
Past

August 20, 2008 - June 29, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
FAIRFIELD, CA
Past

August 20, 2008 - June 29, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
FAIRFIELD, CA
Past

September 27, 2007 - July 15, 2008

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CASTRO VALLEY, CA
Past

September 27, 2007 - July 15, 2008

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CASTRO VALLEY, CA
Past

May 10, 2004 - June 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OAKLAND, CA
Past

May 5, 2004 - June 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OAKLAND, CA
Past

October 10, 1996 - January 27, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

August 1, 1994 - January 16, 1995

CHAPMAN ON-LINE, INC

BD
CRD#: 18446
BALTIMORE, MD

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 ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
RR
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

RR
Arizona
(3/30/2026)
IAR
California
(10/18/2022)
RR
California
(10/25/2022)
RR
Georgia
(1/19/2024)
RR
Texas
(7/8/2024)
IAR
Texas
(7/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/19/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644San Jose, CA 95123

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