Rolando Marrero
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.
Rolando Marrero was a registered financial professional .
Rolando is a previously registered financial professional and started their career in finance in 1998. Rolando had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
May 13, 2004 - October 4, 2017
CETERA INVESTMENT ADVISERS LLC
May 6, 2004 - October 4, 2017
CETERA FINANCIAL SPECIALISTS LLC
January 9, 2003 - August 25, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
November 5, 2002 - August 25, 2004
HOCHMAN & BAKER SECURITIES, INC.
May 20, 1998 - November 1, 2002
EQUITABLE ADVISORS, LLC
May 15, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 15, 1998 - November 1, 2002
EQUITABLE ADVISORS, LLC
January 20, 1998 - March 12, 1998
PFS INVESTMENTS 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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