Reynaldo S. Deguzman

CETERA INVESTMENT ADVISERS LLC

NEWCASTLE, WA

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CRD#: 3080975

Professional summary

Reynaldo Santos Deguzman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newcastle, Washington and CETERA FINANCIAL SPECIALISTS LLC located in Newcastle, Washington.

Reynaldo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Reynaldo has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

1). GOLDEN EAGLE LIONS CLUB. CIVIC ORGANIZATION. BOARD MEMBER. HELP ORGANIZE & IMPLEMENT PROJECTS. DEVOTE LESS THAN 5 HOURS PER MONTH.NO COMPENSATION RECIEVED. ESTABLISHED CONNECTION 2004: 2)GREAT AMERICAN HOMES AND LOANS: SELL REAL ESTATE. INDEPENDANT CONTRACTOR. TIME DEVOTED VARIES TO NEED. NO COMPENSATION YET JUST ESTABLISHED CONNECTION 10/2010: 3) ACN, INC; CONCORD, NC; INDEPENDENT BUSINESS OWNER; DIRECT SELLER OF TELECOM AND ESSENTIAL SERVICES; MARKETING OF ESSENTIAL SERVICES AND TRAINING OF NEW INDEPENDENT BUSINESS OWNERS; 10HRS/MTH:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Reynaldo Santos Deguzman'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 24, 2008 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEWCASTLE, WA

Current

March 24, 2008 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NEWCASTLE, WA

Past

June 2, 2006 - December 31, 2007

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

BRIDGEWATER, NJ

Past

August 16, 2004 - June 2, 2006

THE INVESTMENT CENTER, INC.

RIA

CRD#: 17839

MISSION HILLS, CA

Past

August 16, 2004 - December 31, 2007

THE INVESTMENT CENTER, INC.

CRD#: 17839

MISSION HILLS, CA

Past

January 11, 1999 - July 1, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CLARMONT, CA

Past

August 31, 1998 - July 1, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 29, 1998 - August 14, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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
(12/14/2020)

California
(3/24/2008)

Oregon
(1/4/2016)

Texas
(1/3/2023)

IAR

Texas
(1/5/2023)

Utah
(3/24/2008)

Washington
(11/21/2017)

IAR

Washington
(11/22/2017)

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: 10/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/1998

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: 7/28/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2005

General Securities Principal 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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Reynaldo S. Deguzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Reynaldo Santos Deguzman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

THE INVESTMENT CENTER, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1998

Series 63

Date: 7/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1998

Series 24

Date: 5/13/2005

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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