Elizabeth S. Festejo

CETERA INVESTMENT ADVISERS LLC

ELK GROVE, CA 95624

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CRD#: 3005877

Professional summary

Elizabeth Saldana Festejo, who also goes by Elizabeth Roque Festejo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Elk Grove, California and CETERA ADVISORS LLC located in Sacramento, California.

Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Elizabeth has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elizabeth Roque Festejo

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)DBA: DE NOVO WEALTH MANAGEMENT, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL SERVICES, ADVISE AND INSURANCE, START APRIL 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, FINANCIAL ADVISOR. 2)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START APRIL 2014, 5 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, ANNUITIES & DISABILITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Saldana Festejo'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9328 Elk Grove Blvd Ste 105-314, Elk Grove, CA 95624

RIA

CRD#: 105644

ELK GROVE, CA

Current

May 1, 2014 - Present

CETERA ADVISORS LLC

CRD#: 10299

Sacramento, CA

Past

May 1, 2014 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 3, 2013 - May 2, 2014

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

MILPITAS, CA

Past

January 2, 2013 - May 2, 2014

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

December 5, 2011 - December 18, 2012

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

MILPITAS, CA

Past

December 2, 2011 - December 18, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MILPITAS, CA

Past

December 21, 2005 - November 29, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

MILPITAS, CA

Past

December 19, 2005 - November 29, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

MILPITAS, CA

Past

October 31, 2005 - January 9, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PHOENIX, AZ

Past

October 31, 2005 - January 9, 2006

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

June 30, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

WALNUT CREEK, CA

Past

March 10, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 21, 1999 - March 17, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 8, 1999 - July 9, 1999

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

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

California
(5/1/2014)

IAR

California
(3/21/2024)

Georgia
(8/11/2025)

Nevada
(3/29/2023)

New York
(8/24/2018)

Washington
(3/27/2020)

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 66

Date: 6/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/12/1998

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: 4/24/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/1999

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Elizabeth S. Festejo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Saldana Festejo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

WAMU INVESTMENTS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2005

Series 63

Date: 3/12/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/24/2001

Series 6

Date: 3/15/1999

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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