Christopher S. Liotta

CETERA INVESTMENT ADVISERS LLC

LONG BEACH, NY 11561

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CRD#: 2473513

Professional summary

Christopher Sebastian Liotta is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Beach, New York and CETERA WEALTH SERVICES, LLC located in Long Beach, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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. INDEPENDENT INSURANCE AGENT (DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 2 SECURITIES TRADING HOURS WEEKLY, 2 NON SECURITIES TRADING HOURS WEEKLY, START DATE 4/2009 2. NAME OF OTHER BUSINESS: CHRISTOPHER S LIOTTA DBA CSL INVESTMENTS INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: DBA FOR BUSINESS ACCOUNTING START DATE: 04/2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA SET UP FOR BUSINESS EXPENSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Sebastian Liotta'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 899 West Beech Street, Long Beach, NY 11561

RIA

CRD#: 105644

LONG BEACH, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 20 West Park Avenue Suite 308, Long Beach, NY 11561

CRD#: 13572

Long Beach, NY

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

May 15, 2009 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

ROSLYN, NY

Past

April 24, 2009 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ROSLYN, NY

Past

May 29, 2007 - May 14, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ROSLYN, NY

Past

May 29, 2007 - May 14, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ROSLYN, NY

Past

December 7, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

ROSLYN, NY

Past

August 22, 2001 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

ROSLYN, NY

Past

June 28, 2001 - August 22, 2001

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

January 2, 1996 - July 16, 2001

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

May 2, 1995 - January 11, 1996

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

November 15, 1994 - April 28, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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

Delaware
(9/3/2013)

Florida
(9/3/2013)

Massachusetts
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

North Carolina
(11/29/2019)

Pennsylvania
(9/3/2013)

South Carolina
(3/3/2022)

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 65

Date: 6/4/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/1994

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: 11/13/1994

General Securities Representative 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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Christopher S. Liotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Sebastian Liotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

LASALLE FINANCIAL SERVICES, INC.

KIRLIN SECURITIES INC.

COMMONWEALTH ASSOCIATES

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2004

Series 63

Date: 11/28/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1994

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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