Charles S. Kassatly

CETERA INVESTMENT ADVISERS LLC

MERRICK, NY 11566

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CRD#: 2904595

Professional summary

Charles Steven Kassatly, who also goes by Charles S Kassatly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Merrick, New York and CETERA INVESTMENT SERVICES LLC located in Merrick, New York.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles S Kassatly

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. HAMILTON CAPITAL INC. 100% OWNER. FINANCIAL CONSULTING THRU CETERA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Steven Kassatly'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®

None

Experience

Current

December 10, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 31 Merrick Ave Suite 150, Merrick, NY 11566Office #2: 3407 Pilot Circle, Naples, FL 34120

RIA

CRD#: 105644

MERRICK, NY

Current

December 6, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 31 Merrick Ave Suite 150, Merrick, NY 11566

CRD#: 15340

Merrick, NY

Past

January 19, 2011 - December 24, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST MEADOW, NY

Past

January 19, 2011 - December 24, 2019

LPL FINANCIAL LLC

CRD#: 6413

EAST MEADOW, NY

Past

June 24, 2009 - January 19, 2011

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MASSAPEQUA, NY

Past

June 24, 2009 - January 19, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

MASSAPEQUA, NY

Past

May 2, 2009 - June 15, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ROCKVILE CENTER, NY

Past

May 2, 2009 - June 15, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ROCKVILE CENTER, NY

Past

December 13, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

EAST MEADOW, NY

Past

June 3, 2003 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

EAST MEADOW, NY

Past

January 2, 2002 - May 16, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 1, 1998 - January 2, 2002

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

October 27, 1997 - November 17, 1998

BARINGTON CAPITAL GROUP, L.P.

CRD#: 29383

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(3/8/2023)

California
(1/28/2025)

Connecticut
(12/6/2019)

Florida
(1/21/2020)

IAR

Florida
(1/25/2023)

Illinois
(5/20/2025)

New Hampshire
(4/13/2021)

New Jersey
(12/6/2019)

IAR

New Jersey
(12/10/2019)

New York
(12/6/2019)

IAR

New York
(3/31/2021)

North Carolina
(1/21/2020)

Pennsylvania
(12/6/2019)

Texas
(3/4/2020)

IAR

Texas
(4/22/2022)

Virginia
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	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.

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Firm Stability Insights

Charles S. Kassatly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Steven Kassatly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

OPPENHEIMER & CO. INC.

PRIME CHARTER LTD.

BARINGTON CAPITAL GROUP, L.P.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2006

Series 63

Date: 11/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/25/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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