Marsha L. Gazy
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.
Marsha Lynn Gazy, who also goes by Marsha L Gazy, Marsha Gazy, Marsha Gazy Lowery, Marsha Lynn Lowery, Marsha Lowery, was a registered financial professional .
Marsha is a previously registered financial professional and started their career in finance in 1995. Marsha had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - September 17, 2019
CETERA INVESTMENT ADVISERS LLC
November 29, 2016 - September 17, 2019
CETERA INVESTMENT SERVICES LLC
January 21, 2014 - November 7, 2016
CETERA INVESTMENT ADVISERS LLC
May 17, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 13, 2011 - November 7, 2016
CETERA INVESTMENT SERVICES LLC
January 4, 2010 - May 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 4, 2010 - May 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 13, 2008 - December 21, 2009
KESTRA INVESTMENT SERVICES, LLC
November 13, 2008 - December 21, 2009
KESTRA INVESTMENT SERVICES, LLC
January 10, 2006 - November 11, 2008
CETERA WEALTH SERVICES, LLC
October 24, 2005 - November 11, 2008
CETERA WEALTH SERVICES, LLC
July 1, 2003 - October 24, 2005
BLUE VASE SECURITIES, LLC
December 1, 1995 - July 3, 2003
CITISTREET EQUITIES LLC
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
Exams
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.
