Mario L. Pauw
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.
Mario Leendertwilhelm Pauw, who also goes by Mario Leendert Wilhelur Pauw, Mario Leendert Wilmilw Pauw, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1995. Mario had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
October 3, 2016 - December 31, 2024
CETERA ADVISORS LLC
September 15, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
September 15, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
April 21, 2008 - November 4, 2008
OSAIC SERVICES, INC.
January 11, 2006 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
November 16, 2005 - January 3, 2006
STOCKCROSS FINANCIAL SERVICES, INC.
May 30, 2002 - June 10, 2002
WEBSTER INVESTMENT SERVICES, INC.
April 26, 2002 - February 11, 2005
CITIZENS SECURITIES, INC.
April 19, 2000 - November 16, 2005
FISERV INVESTOR SERVICES, INC.
August 23, 1995 - May 29, 1998
FAB SECURITIES OF AMERICA, INC.
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.
