YS
Yvonne M. Sanchez
CETERA INVESTMENT ADVISERS LLC
ALBUQUERQUE, NM 87109
Some features on this profile are disabled
CRD#: 2555703
YS
Professional summary
Yvonne Marie Sanchez, who also goes by Yvonne M Sanchez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albuquerque, New Mexico and CETERA WEALTH SERVICES, LLC located in Los Lunas, New Mexico.
Yvonne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Yvonne has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yvonne M Sanchez
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. SOLICITS FIXED INSURANCE PRODUCTS 25% OF TIME: TERM LIFE & HEALTH. 2. NM NOTARY. 3. NAME OF OTHER BUSINESS: RIO GRANDE FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATIOPN, NATURE OF BUSINESS: INSURANCE AGENCY AND DBA FOR CETERA ADVISOR NETWORKS START DATE: 01/09/2013, POSITION/TITLE/RELATIONSHIP: PRINCIPLE FOR PROPERTY AND CASUALTY, LIFE & HEALTH AGENCY. APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MEET WITH CLIENTS, SERVICE AND MONITOR POLICIES, AND/OR ACCOUNTS. 4. NAME OF OTHER BUSINESS: UNIVERSITY OF MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER INVESTMENT RELATED: NO ADDRESS: 280 LA ENTRADA LOS LUNAS, NM 87031 NATURE OF BUSINESS: SERVE AS A DEVELOPMENT BOARD MEMBER FOR LOCAL COMMUNITY COLLEGE. THE DEVELOPMENT BOARD WILL PUT TOGETHER COMMUNITY EVENTS (IE, GALA,GOLF TOURNAMENT) TO RAISE FUNDS FOR THE SCHOLARSHIP ENDOWMENT START DATE: 01/14/2013 POSITION/TITLE/RELATIONSHIP: UNIVERSITY OF NEW MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 HOURS PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: DEVELOPMENT BOARD MEMBER. BI-MONTHLY MEETINGS AND OCCASIONALLY A MONTHLY GALA COMMITTEE MEETING.
CRS (Client Relationship Summary) - RIA
Click below to view Yvonne Marie Sanchez's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109Office #2: 336 Luna St Se, Los Lunas, NM 87031RIA
CRD#: 105644
ALBUQUERQUE, NM
Current
November 5, 2002 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 336 Luna St Se, Los Lunas, NM 87031Office #2: 7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109BD
CRD#: 13572
Los Lunas, NM
Past
May 13, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LOS LUNAS, NM
Past
July 16, 1996 - October 18, 2000
HAMILTON FAIRCHILD SECURITIES CORPORATION
BD
CRD#: 35670
ALBUQUERQUE, NM
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
California(9/24/2014)
RR
New Mexico(11/5/2002)
IAR
New Mexico(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Albuquerque, NM 87109TRUST BUT VERIFY
Monitor Yvonne Sanchez
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
