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Carolyn L. Mora

CETERA INVESTMENT ADVISERS LLC
EL PASO, TX
Some features on this profile are disabled
CRD#: 2838521
CM

Professional summary

Carolyn Leticia Mora, CFP®, who also goes by Carolyn Leticia Mora, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Paso, Texas and CETERA FINANCIAL SPECIALISTS LLC located in El Paso, Texas.

Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Carolyn has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carolyn Leticia Mora

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) CAROLYN L MORA, CPA, PC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PRESIDENT, OWNER, CPA MANAGEMENT OF OPERATIONS, TAX, ACCOUNTING SERVICES FOR SMALL BUSINESSES AND INDIVIDUALS, 30H/WEEK, SINCE 01/1999 2) CATHOLIC DIOCESE OF EL PASO, PRIEST RETIREMENT FUND, NOT INVESTMENT RELATED, 499 ST MATTHEWS STREET, EL PASO, TX, COMMITTEE MEMBER, COMMITTEE IS RESPONSIBLE FOR RETAINING ACTUARY AND REVIEWING RELATED REPORTS ON RECURRING BASIS, ASSESSING PENSION PAYOUT AMOUNTS TO RETIRED PRIESTS, 0.10H/WEEK, SINCE 03/2019 3) CAROLYN L MORA FINANCIAL SERVICES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, CLIENT MEETINGS, FINANCIAL/INVESTMENT ACCOUNT SET UP/MONITORING, DBA FOR INVESTMENT BUSINESS, 20H/WEEK, SINCE 08/2014. 4) CHICO'S TACOS, INC., INVESTMENT RELATED, 10530 MONTWOOD DRIVE, EL PASO, TX, SHAREHOLDER, CONSULTANT, OWNER, GENERAL OVERVIEW OF FINANCIAL REPORTS, .5H/WEEK, SINCE 04/1995 5) MORA HOLDINGS, LLC, INVESTMENT RELATED, 10530 MONTWOOD DRIVE, EL PASO, TX, SHAREHOLDER, CONSULTANT, OWNER, GENERAL OVERVIEW OF FINANCIAL REPORTS, .5H/WEEK, SINCE 04/1995

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Leticia Mora'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®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Current

February 14, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 541 Silicon Dr Ste 101, Southlake, TX 76092
RIA
CRD#: 105644
EL PASO, TX
Current

February 14, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #2: 541 Silicon Dr Ste 101, Southlake, TX 76092
BD
CRD#: 10358
EL PASO, TX
Past

October 25, 2019 - February 17, 2023

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
El Paso, TX
Past

October 25, 2019 - February 17, 2023

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
EL PASO, TX
Past

February 11, 2019 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
EL PASO, TX
Past

February 11, 2019 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
EL PASO, TX
Past

August 27, 2014 - February 22, 2019

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
EL PASO, TX
Past

August 27, 2014 - February 22, 2019

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
El Paso, TX
Past

August 12, 2013 - September 4, 2014

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
EL PASO, TX
Past

August 12, 2013 - September 4, 2014

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL PASO, TX
Past

August 12, 2008 - August 13, 2013

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
EL PASO, TX
Past

August 12, 2008 - August 13, 2013

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
EL PASO, TX
Past

September 2, 2004 - August 18, 2008

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
EL PASO, TX
Past

October 8, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

October 8, 1999 - August 18, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
EL PASO, TX
Past

March 5, 1997 - July 14, 1999

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX

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
Michigan
(8/27/2025)
RR
New Mexico
(2/14/2023)
RR
Texas
(2/14/2023)
IAR
Texas
(2/14/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1997
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 7
Date: 12/13/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 11/16/1998
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/4/1997
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
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644El Paso, TX

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