Louis J. Proto
CETERA INVESTMENT ADVISERS LLC
OLEAN, NY 14760
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CRD#: 3129734
Professional summary
Louis Joseph Proto, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olean, New York and CETERA WEALTH SERVICES, LLC located in Olean, New York.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Louis has worked at 3 firms and has passed the Series 63, 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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES INV RELATED: YES ADDR: SAME AS REGISTERED LOCATIO, FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 12/2001 APX # OF HRS/WEEK: 1 APX # OF HOURS DURING TRADING HRS: LIFE INSURANCE 2.: PROTO & LOSKEY LLC, CPA INV RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS: ACCOUNTING AND AUDITS, TAX SERVICES, SMALL BUSINESS SERVICES, ESTATES AND TRUSTS START DATE: 1/2006 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS/WEEK: 30 APX # OF HRS DURING TRADING HRS: 30, OWNER OF CPA FIRM, OVERSEE DAILY ACTIVITIES , TAX RETURN ETC; 3. PROTO FAMILY HOLDINGS, INV RELATED: NO ADDRESS: 13 N SHORE, CHILLICOTHE, OH 45601 NATURE OF BUSINESS: REAL ESTATE START DATE: 11/2018 POSITION/TITLE/RELATIONSHIP: PART OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DURING TRADING HRS: 1 BRIEF DESCRIPTION OF DUTIES: ASSIST IN CONSULTING CAPACITY; 4. E&L HOLDINGS LLC INV RELATED: NO ADDRESS: 115 TIMES SQUARE OLEAN, NY 14760: REAL ESTATE START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: CONSULTANT, PART OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DURING TRADING HRS: 1, PROVIDE GUIDANCE TO PROPERTY MANAGER AS NEEDED; 5. SOLAR TOWN AND COUNTRY APARTMENTS INV RELATED: NO ADDRESS: 1601 PLEASANT STREET, OLEAN, NY 14760: REAL ESTATE, START DATE: 11/2004 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS PER WEEK: 1 APX # OF HRS DURING TRADING HRS: 1, CONSULT - PROVIDE ADVICE TO CURRENT PROPERTY MANAGER 6. EDINBORO COUNTRY SQUARE APARTMENTS, INV RELATED: NO ADDRESS: 415 WATERFORD STREET, EDINBORO, PA 16412, REAL ESTATE START DATE: 9/1996 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DURING TRADING HRS: 1, PROVIDE ADVICE TO CURRENTLY PROPERTY MANAGER , HELP OVERSEE ACTIVITIES; 7. CONGRESS STREET APARTMENTS LLC, INV RELATED: NO ADDRESS: 440 CONGRESS STREET, BRADFORD, PA 16701, REAL ESTATE START DATE: 1/2004 POSITION/TITLE/RELATIONSHIP: PART OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DURING TRADING HRS: 1, HELP OVERSEE PROPERTY WITH PROPERTY MANAGER DOING DAILY TASKS AND COMING TO ME WITH QUESTIONS; 8. ROSE APARTMENTS LLC INV RELATED: NO ADDRESS: 34 GLEN STREET, ALFRED, NY 14802, : REAL ESTATE START DATE: 4/2002 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DURING TRADING HRS: 1, OVERSEE ACTIVITIES. PROVIDE DIRECTION TO PROPERTY MANAGER; 9. CATHY YOUNG FOR SENATE INV RELATED: NO ADDRESS: SAME AS BUSINESS ADDRESS NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 7/2005 POSITION/TITLE/RELATIONSHIP: TREASURER APX # OF HRS/WEEK: 0 APX # OF HRS DURING TRADING HRS: 0, KEEP BOOKS AND WRITE CHECKS PER CATHY'S REQUEST - ALL ACTIVITIES ARE AUDITED ANNUALLY 10. LUIGI'S PANE INV RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS, BAKERY RUN OUT OF THE BACK OF MY OFFICE (OFFICE USE TO BE OLEAN'S OLD CITY CLUB SO THERE IS A KITCHEN) START DATE: 9/2018 POSITION/TITLE/RELATIONSHIP: OWNER - HEAD BAKER APX # OF HRS/WEEK: 2 APX # OF HRS DURING TRADING HRS: 2, OCCASIONALLY BAKE BREAD FOR THE AREA (LOCAL FARMERS MARKET, ONLINE ORDERS AND A LOCAL GROCERY STORE; 11. PROTO FINANCIAL GROUP INV RELATED: YES ADDRESS: SAME AS BUSINESS ADDRESS NATURE OF BUSINESS: DBA START DATE: 1/2010 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS/WEEK: 20 APX # OF HRS DURING TRADING HRS: 20 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL PLANNING; 12. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NOTARY, START DATE: 10/2012, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, NOTARIZE DOCUMENTS; 13. NAME OF OTHER BUSINESS: LDL HOLDINGS LLC; NOT INVS RLTD ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTIES; START: 12/2022; TITLE: OWNER; APX # OF HRS/WK & DUR TRD HRS: LESS THAN 1; DUTIES: PAY BILLS FOR UNIT AND COLLECT RENT;
CRS (Client Relationship Summary) - RIA
Click below to view Louis Joseph Proto's 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®
CFP®
Start date: 2001
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 487 N Union St, Olean, NY 14760RIA
CRD#: 105644
OLEAN, NY
Current
October 26, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 115 Times Square, Olean, NY 14760BD
CRD#: 13572
Olean, NY
Past
October 26, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Olean, NY
Past
January 25, 1999 - October 29, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Olean, NY
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
Florida(7/19/2023)
RR
Missouri(11/4/2021)
RR
New Jersey(11/4/2021)
RR
New York(10/26/2021)
IAR
New York(6/29/2023)
RR
North Carolina(1/3/2025)
RR
Pennsylvania(10/26/2021)
RR
South Carolina(9/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
