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LR

Laura D. Ryan

Some features on this profile are disabled
CRD#: 2574123
LR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Laura Daly Ryan, CFP®, who also goes by Laura Jane Daly, Laura Ryan, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 2001. Laura had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Jane Daly | Laura Ryan

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1996

Experience

Past

June 30, 2023 - December 31, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PLANO, TX
Past

June 30, 2023 - December 31, 2025

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
PLANO, TX
Past

January 11, 2019 - June 2, 2023

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
DALLAS, TX
Past

January 11, 2019 - June 2, 2023

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
DALLAS, TX
Past

October 1, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DALLAS, TX
Past

October 1, 2008 - January 3, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX
Past

August 15, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
DALLAS, TX
Past

June 20, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
DALLAS, TX
Past

January 28, 2004 - June 20, 2006

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
DALLAS, TX
Past

January 29, 2003 - June 26, 2003

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

May 1, 2001 - March 1, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 13, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

January 4, 2001 - March 9, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/11/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/2000
Uniform Securities Agent 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: 1/3/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 12/13/1994
Non-Member General Securities Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 105644

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