CF
Christopher J. Fogarty
CETERA INVESTMENT ADVISERS LLC
PEABODY, MA 01960
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CRD#: 2824785
CF
Professional summary
Christopher John Fogarty, who also goes by Chirstopher John Fogarty, Chris Fogarty, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Peabody, Massachusetts and CETERA ADVISORS LLC located in Peabody, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chirstopher John Fogarty | Chris Fogarty
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: COLLEGE FINANCIAL AID APPLICATION PROCESSING, START DATE: 7/2023, LESS THAN 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: CONSULTATIVE, BRIEF DESCRIPTION OF DUTIES: PROVIDE OVERVIEW OF FINANCIAL AID PROCESS FOR APPLYING TO COLLEGE; 3. NAME OF OTHER BUSINESS: FOGARTY FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Fogarty's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9 Centennial Drive 2nd Floor, Peabody, MA 01960RIA
CRD#: 105644
PEABODY, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 9 Centennial Drive 2nd Floor, Peabody, MA 01960BD
CRD#: 10299
Peabody, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
LYNNFIELD, MA
Past
January 13, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LYNNFIELD, MA
Past
August 16, 1999 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
LYNNFIELD, MA
Past
January 14, 1998 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
January 13, 1997 - November 26, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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
Florida(1/23/2024)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(10/3/2016)
RR
New York(1/31/2025)
RR
Pennsylvania(10/4/2023)
RR
Rhode Island(10/3/2016)
RR
South Carolina(8/20/2021)
RR
Vermont(2/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Peabody, MA 01960TRUST BUT VERIFY
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