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PS

Philip Soto

CETERA INVESTMENT ADVISERS
EL SEGUNDO, CA 90245
CRD#: 3079204
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PS
Philip SotoCETERA INVESTMENT ADVISERS

Professional summary

Philip Soto is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Philip has worked at 15 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Soto'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

April 9, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
RIA
CRD#: 105644
EL SEGUNDO, CA
Current

April 9, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
El Segundo, CA
Current

April 9, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Current

April 9, 2026 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10358
El Segundo, CA
Current

April 9, 2026 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10299
El Segundo, CA
Past

January 15, 2026 - February 2, 2026

HALO INVESTMENT SERVICES, LLC

RIA
CRD#: 325613
Huntington Beach, CA
Past

May 8, 2025 - February 2, 2026

HALO SECURITIES, LLC

BD
CRD#: 279029
CHICAGO, IL
Past

March 1, 2019 - September 12, 2024

T. ROWE PRICE ASSOCIATES, INC.

RIA
CRD#: 105496
Huntington Beach, CA
Past

March 1, 2018 - March 6, 2019

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
San Francisco, CA
Past

October 31, 2017 - September 12, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

October 30, 2008 - August 12, 2009

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

September 17, 2004 - June 3, 2008

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

January 16, 2003 - August 24, 2004

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

May 21, 2002 - January 2, 2003

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

September 10, 1998 - September 18, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

September 10, 1998 - February 11, 2002

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
RR
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

RR
California
(4/9/2026)
IAR
California
(4/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/30/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/9/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644El Segundo, CA 90245

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