Michael A. Gunza

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CRD#: 2710366

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.

Michael Alan Gunza, who also goes by Mike Gunza, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Gunza

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®

None

Experience

Past

September 27, 2016 - September 16, 2020

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WEST MILFORD, NJ

Past

September 22, 2016 - September 16, 2020

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

WEST MILFORD, NJ

Past

May 24, 2016 - September 19, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OAK RIDGE, NJ

Past

May 4, 2016 - September 19, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MONTVILLE, NJ

Past

July 30, 2010 - May 9, 2016

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

BUTLER, NJ

Past

April 20, 2007 - June 8, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

BUTLER, NJ

Past

January 9, 2007 - May 9, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

BUTLER, NJ

Past

October 4, 2006 - January 3, 2007

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MONROE, NY

Past

October 4, 2006 - January 3, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MONROE, NY

Past

January 23, 2006 - October 4, 2006

BNY INVESTMENT CENTER INC.

RIA

CRD#: 47683

MONROE, NY

Past

January 23, 2006 - October 4, 2006

BNY INVESTMENT CENTER INC.

CRD#: 47683

MONROE, NY

Past

March 4, 2005 - January 12, 2006

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

RIDGEWOOD, NJ

Past

March 4, 2005 - January 12, 2006

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

October 20, 2004 - February 23, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BUTLER, NJ

Past

October 20, 2004 - February 23, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

November 21, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

HAWTHORNE, NJ

Past

March 29, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

March 27, 2000 - April 5, 2001

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

August 5, 1997 - April 10, 2000

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

March 22, 1996 - June 6, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/25/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/21/1996

General Securities Representative Examination

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

Michael A. Gunza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BNY INVESTMENT CENTER INC.

BNY INVESTMENT CENTER INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

GRUNTAL & CO., L.L.C.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/1996

Series 63

Date: 4/11/1996

SIE

Date: 10/1/2018

Series 31

Date: 4/25/1996

Series 7

Date: 3/21/1996

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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