Sheila E. Carmen
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.
Sheila Elaine Carmen, who also goes by Sheila Carmen, Sheila Elaine Lugibill, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 1997. Sheila had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 11, 2014 - September 30, 2024
CETERA INVESTMENT ADVISERS LLC
February 11, 2014 - September 30, 2024
CETERA INVESTMENT SERVICES LLC
March 5, 2009 - February 12, 2014
LPL FINANCIAL LLC
March 4, 2009 - February 12, 2014
LPL FINANCIAL LLC
February 6, 2007 - March 11, 2009
INVEST FINANCIAL CORPORATION
November 26, 2002 - March 11, 2009
INVEST FINANCIAL CORPORATION
December 6, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
October 25, 2000 - December 5, 2001
CONSECO SECURITIES, INC.
January 4, 1999 - October 20, 2000
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
March 12, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 18, 1998 - October 20, 2000
NATCITY INVESTMENTS, INC.
July 10, 1997 - January 9, 1998
PNC BROKERAGE CORP
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
