Anne Summers

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 2591409

Professional summary

Anne Summers, who also goes by Anne W Summers, Annie Summers, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.

Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Anne has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anne W Summers | Annie Summers

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.) The Coronado Alano Club; Board Member; Non-profit organization; Start date 08/01/2019; 4 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Summers'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101Office #2: 266 Daisy Avenue Apt H, Imperial Beach, CA 91932

RIA

CRD#: 105644

SAN DIEGO, CA

Current

April 7, 2020 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Current

March 17, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Current

March 17, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 13572

SAN DIEGO, CA

Current

March 17, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Past

December 19, 2018 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN DIEGO, CA

Past

December 18, 2018 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

August 8, 2017 - September 20, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

August 1, 2017 - September 20, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN DIEGO, CA

Past

August 29, 2016 - October 17, 2016

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

TUCSON, AZ

Past

August 22, 2016 - October 17, 2016

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

TUCSON, AZ

Past

March 20, 2015 - October 26, 2015

NATIONAL PLANNING CORPORATION

CRD#: 29604

Tucson, AZ

Past

May 27, 2014 - September 25, 2014

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

TUCSON, AZ

Past

May 15, 2012 - September 25, 2014

RBC CAPITAL MARKETS, LLC

CRD#: 31194

TUCSON, AZ

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

IAR

California
(11/12/2020)

California
(9/8/2022)

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 66

Date: 5/24/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2012

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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Advisor Monitoring

Firm Stability Insights

Anne Summers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Summers's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

NATIONAL PLANNING CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2014

SIE

Date: 9/20/2017

Series 7

Date: 5/14/2012

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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