Gregg A. Ruvoli
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.
Gregg Alan Ruvoli was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1998. Gregg had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2020 - November 15, 2022
CETERA INVESTMENT ADVISERS LLC
July 16, 2020 - November 15, 2022
CETERA FINANCIAL SPECIALISTS LLC
January 16, 2015 - February 9, 2015
SUMMIT BROKERAGE SERVICES, INC.
January 16, 2015 - February 9, 2015
LEGEND EQUITIES CORPORATION
January 16, 2015 - February 9, 2015
J.P. TURNER & COMPANY, L.L.C.
January 16, 2015 - February 9, 2015
INVESTORS CAPITAL CORP.
January 16, 2015 - February 9, 2015
FIRST ALLIED SECURITIES, INC.
January 14, 2015 - February 9, 2015
CETERA INVESTMENT SERVICES LLC
January 14, 2015 - February 9, 2015
CETERA ADVISORS LLC
January 14, 2015 - February 9, 2015
CETERA WEALTH SERVICES, LLC
April 13, 2011 - July 9, 2020
CETERA INVESTMENT ADVISERS LLC
September 10, 2009 - July 9, 2020
CETERA FINANCIAL SPECIALISTS LLC
April 20, 2005 - March 13, 2009
GUGGENHEIM DISTRIBUTORS, LLC
October 4, 2002 - January 24, 2005
EVERLAKE DISTRIBUTORS, LLC
July 30, 1999 - October 4, 2002
AFD, INC.
April 24, 1998 - April 14, 1999
ALFS, 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
Exams
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.
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