Donna S. Litty

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 2645660

Professional summary

Donna Sherie Litty, who also goes by Donna S Lupiani, Donna Sherie Lupiani, Donna S Litty, Donna Sherie Litty, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Donna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Donna has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Donna S Lupiani | Donna Sherie Lupiani | Donna S Litty | Donna Sherie Litty

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) - RIA

Click below to view Donna Sherie Litty'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 14, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

EL SEGUNDO, CA

Current

November 13, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

November 13, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

November 13, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

November 13, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

May 28, 2025 - October 31, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

Canton, GA

Past

May 27, 2025 - October 31, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 23, 2024 - April 2, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

September 1, 2021 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

September 1, 2021 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 1, 2021 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

September 1, 2021 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

September 1, 2021 - April 2, 2025

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 3, 2019 - August 23, 2024

TRIAD ADVISORS LLC

RIA

CRD#: 25803

ATLANTA, GA

Past

September 13, 2017 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

February 5, 2015 - August 8, 2016

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

WOODSTOCK, GA

Past

March 15, 2013 - February 18, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CANTON, GA

Past

November 12, 2008 - November 30, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WOODSTOCK, GA

Past

November 6, 2008 - November 30, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WOODSTOCK, GA

Past

April 22, 2003 - October 7, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CANTON, GA

Past

October 1, 2000 - October 7, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CANTON, GA

Past

February 4, 1998 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

December 14, 1995 - January 12, 1998

PEOPLE'S SECURITIES, INC.

CRD#: 13704

BRIDGEPORT, CT

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

Georgia
(11/13/2025)

IAR

Georgia
(11/14/2025)

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: 8/26/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/13/2020

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/21/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/20/2002

General Securities Sales Supervisor - Options Module 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

Donna S. Litty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donna Sherie Litty's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

FSC SECURITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

TAYLOR CAPITAL MANAGEMENT INC.

COMMONWEALTH FINANCIAL NETWORK

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

PEOPLE'S SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2019

Series 63

Date: 10/23/1995

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/28/1997

Series 6

Date: 12/13/1995

Series 53

Date: 11/13/2020

Series 24

Date: 11/12/2018

Series 10

Date: 5/21/2002

Series 9

Date: 5/20/2002

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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