Keith Dilloway
Professional summary
Keith Dilloway, who also goes by Keith Edward Dilloway, Keith E Dilloway, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 3, Series 87, Series 7, Series 6, Series 9, Series 10, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keith Dilloway's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101December 9, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101December 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101December 9, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101December 9, 2021 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway12th Fl, San Diego, CA 92101December 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
December 9, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
March 4, 2021 - October 18, 2021
COMMONWEALTH FINANCIAL NETWORK
March 4, 2021 - October 18, 2021
COMMONWEALTH FINANCIAL NETWORK
April 5, 2016 - March 19, 2021
MORGAN STANLEY
April 5, 2016 - March 19, 2021
MORGAN STANLEY
November 2, 2010 - March 23, 2016
CUSO FINANCIAL SERVICES, L.P.
October 26, 2010 - March 23, 2016
SORRENTO PACIFIC FINANCIAL, LLC
October 26, 2010 - March 23, 2016
SORRENTO PACIFIC FINANCIAL, LLC
May 7, 2009 - October 26, 2010
EQUITABLE ADVISORS, LLC
May 1, 2009 - October 26, 2010
EQUITABLE ADVISORS, LLC
December 1, 2003 - January 2, 2009
LPL FINANCIAL LLC
October 6, 2003 - January 2, 2009
LPL FINANCIAL LLC
August 9, 1994 - March 21, 1995
SUNAMERICA SECURITIES, 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
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(12/9/2021)
(6/29/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(9/1/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
(5/22/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
