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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JC

Judith I. Caine

CETERA INVESTMENT ADVISERS LLC
SOLON, OH 44139
Some features on this profile are disabled
CRD#: 2722743
JC

Professional summary

Judith Ileen Caine, who also goes by Judy Caine, Judith Wasserman, Judy Wasserman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Solon, Ohio and CETERA WEALTH SERVICES, LLC located in Solon, Ohio.

Judith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Judith has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Judy Caine | Judith Wasserman | Judy Wasserman

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 Judith Ileen Caine'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5900 Harper Road Suite #111, Solon, OH 44139
RIA
CRD#: 105644
SOLON, OH
Current

February 17, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5900 Harper Road Suite #111, Solon, OH 44139
BD
CRD#: 13572
Solon, OH
Past

February 17, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
WESTLAKE, OH
Past

August 3, 2012 - April 16, 2021

CETERA ADVISORS LLC

RIA
CRD#: 10299
SOLON, OH
Past

August 2, 2012 - April 16, 2021

CETERA ADVISORS LLC

BD
CRD#: 10299
SOLON, OH
Past

December 7, 2006 - August 2, 2012

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SOLON, OH
Past

November 29, 2006 - August 2, 2012

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SOLON, OH
Past

January 16, 2003 - December 6, 2006

THE CONCORD EQUITY GROUP, LLC

RIA
CRD#: 14569
SOLON, OH
Past

May 26, 1998 - December 6, 2006

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
SOLON, OH
Past

March 25, 1998 - August 12, 1998

EMISSARY FINANCIAL GROUP, INC.

BD
CRD#: 44568
MENTOR, OH
Past

March 18, 1996 - March 17, 1998

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
RR
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

RR
Arizona
(2/17/2021)
RR
Colorado
(2/17/2021)
RR
Florida
(2/17/2021)
RR
Michigan
(2/17/2021)
RR
New Jersey
(2/17/2021)
RR
New York
(2/17/2021)
RR
Ohio
(2/17/2021)
IAR
Ohio
(6/29/2023)
RR
Pennsylvania
(11/19/2024)
RR
Vermont
(2/17/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/21/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Solon, OH 44139

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