Reiko Y. Powderly
Professional summary
Reiko Y Powderly, who also goes by Reiko Y. Powderly, Reiko Yamada, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Reisterstown, Maryland and CETERA ADVISORS LLC located in Candler, North Carolina.
Reiko is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Reiko has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Reiko Y Powderly's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
February 13, 2015 - Present
CETERA ADVISORS LLC
February 13, 2015 - March 21, 2024
CETERA ADVISORS LLC
March 21, 2012 - March 17, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
March 21, 2012 - March 17, 2015
CAPITAL GUARDIAN, LLC
December 6, 2006 - March 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2006 - March 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2003 - June 13, 2005
CHASE INVESTMENT SERVICES CORP.
May 23, 2003 - June 13, 2005
CHASE INVESTMENT SERVICES CORP.
March 27, 2003 - May 27, 2003
EQUITABLE ADVISORS, LLC
February 28, 2003 - May 27, 2003
EQUITABLE ADVISORS, LLC
November 29, 1999 - October 15, 2002
DAIWA CAPITAL MARKETS AMERICA INC.
October 2, 1998 - December 15, 1999
PERSHING LLC
May 12, 1997 - October 27, 1998
CITIGROUP GLOBAL MARKETS INC.
February 11, 1997 - March 6, 1997
CITIGROUP GLOBAL MARKETS 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
(11/15/2019)
(8/27/2015)
(2/19/2015)
(6/22/2022)
(1/29/2020)
(3/7/2024)
(12/11/2019)
(2/13/2015)
(2/13/2015)
(3/21/2024)
(4/21/2015)
(8/8/2024)
(8/4/2017)
(5/15/2019)
(4/25/2025)
(11/9/2017)
(3/21/2024)
(3/26/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/31/2000
Limited Representative-Equity Trader ExamFINRA
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.
