Darrin M. Abby

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CRD#: 2908751

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.

Darrin Michael Abby, CFP® was a registered financial professional .

Darrin is a previously registered financial professional and started their career in finance in 1997. Darrin had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.) BOARDCHAIR OF KITCHEN ANGELS NON PROFIT, NO SIGNING AUTHORITY, 1/HR/WK; 2.) RELATIONSHIP MANAGER FOR OUTSIDE FEE BASED ASSET MANAGEMENT FOR ENTERPRISE BANK & TRUST AFFILIATION THROUGH FIDELITY 3.) WEALTH ADVISOR AT ENTERPRISE BANK & TRUST

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

May 22, 2017 - July 1, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SANTA FE, NM

Past

May 19, 2017 - July 1, 2025

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SANTA FE, NM

Past

November 30, 2009 - May 23, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA FE, NM

Past

November 30, 2009 - May 23, 2017

LPL FINANCIAL LLC

CRD#: 6413

SANTA FE, NM

Past

July 21, 2009 - November 4, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SANTA FE, NM

Past

July 16, 2009 - November 4, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SANTE FE, NM

Past

July 12, 2007 - June 8, 2009

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

SANTA FE, NM

Past

June 26, 2007 - June 8, 2009

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

SANTA FE, NM

Past

November 26, 1997 - March 18, 2002

TECHNOLOGY FUNDING SECURITIES

CRD#: 43494

SANTA FE, NM

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/9/1997

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: 6/25/2007

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/21/1997

Direct Participation Programs Representative Examination

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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Darrin M. Abby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

TECHNOLOGY FUNDING SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2007

Series 63

Date: 9/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/25/2007

Series 22

Date: 7/21/1997

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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