Anthony T. Corce

CETERA INVESTMENT ADVISERS LLC

Playa del Rey, CA

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CRD#: 3182919

Professional summary

Anthony Thomas Corce, who also goes by Anthony Thomas Corce, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Playa Del Rey, California and CETERA FINANCIAL SPECIALISTS LLC located in Playa Del Ray, California.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Thomas Corce

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) NAME OF OTHER BUSINESS: ASPINET VILLAGE CONDOMINIUM ASSOCIATION TRUST, INVESTMENT RELATED: NO, ADDRESS: 983 INTONI WAY, EASTHAM, MA 20664, NATURE OF BUSINESS: HOA, START DATE: 02/2024, POSITION/TITLE/RELATIONSHIP: TRUSTEE OF HOA, LESS THAN 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MANAGER VENDORS (TRASH, REMOVAL, LANDSCAPING, MAINTENANCE);

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Thomas Corce'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

January 23, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Playa del Rey, CA

Current

January 23, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

PLAYA DEL RAY, CA

Past

November 18, 2014 - December 7, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

Playa Del Rey, CA

Past

November 18, 2014 - December 7, 2023

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 13, 2014 - November 17, 2014

MORGAN STANLEY

RIA

CRD#: 149777

BEVERLY HILLS, CA

Past

August 13, 2014 - November 17, 2014

MORGAN STANLEY

CRD#: 149777

BEVERLY HILLS, CA

Past

August 13, 2007 - August 7, 2014

EDWARD JONES

RIA

CRD#: 250

TEMPE, AZ

Past

July 25, 2007 - August 7, 2014

EDWARD JONES

CRD#: 250

TEMPE, AZ

Past

March 21, 2006 - May 16, 2007

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PHOENIX,

Past

October 31, 2005 - May 16, 2007

OSAIC SERVICES, INC.

CRD#: 133763

PHOENIX,

Past

April 15, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 15, 2004 - December 8, 2005

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

April 15, 2004 - December 8, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 30, 2001 - April 26, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Alabama
(1/24/2024)

Alaska
(1/24/2024)

Arizona
(1/24/2024)

Arkansas
(1/24/2024)

California
(1/23/2024)

IAR

California
(1/23/2024)

Colorado
(1/24/2024)

Connecticut
(1/24/2024)

Delaware
(1/24/2024)

District of Columbia
(1/24/2024)

Florida
(1/24/2024)

Georgia
(1/24/2024)

Hawaii
(1/24/2024)

Idaho
(1/24/2024)

Illinois
(1/24/2024)

Indiana
(1/24/2024)

Iowa
(1/24/2024)

Kansas
(1/24/2024)

Kentucky
(1/24/2024)

Louisiana
(1/24/2024)

Maine
(1/24/2024)

Maryland
(1/24/2024)

Massachusetts
(1/24/2024)

Michigan
(1/24/2024)

Minnesota
(1/24/2024)

Mississippi
(1/24/2024)

Missouri
(1/24/2024)

Montana
(1/24/2024)

Nebraska
(1/24/2024)

Nevada
(1/24/2024)

New Hampshire
(1/24/2024)

New Jersey
(1/24/2024)

New Mexico
(1/24/2024)

New York
(1/24/2024)

North Carolina
(1/24/2024)

North Dakota
(1/24/2024)

Ohio
(1/24/2024)

Oklahoma
(1/24/2024)

Oregon
(1/24/2024)

Pennsylvania
(1/24/2024)

Puerto Rico
(1/24/2024)

Rhode Island
(1/24/2024)

South Carolina
(1/24/2024)

South Dakota
(1/24/2024)

Tennessee
(1/24/2024)

Texas
(1/24/2024)

IAR

Texas
(1/31/2024)

Utah
(1/24/2024)

Vermont
(1/24/2024)

Virgin Islands
(1/24/2024)

Virginia
(1/24/2024)

Washington
(1/24/2024)

West Virginia
(1/24/2024)

Wisconsin
(1/24/2024)

Wyoming
(1/24/2024)

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: 3/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/13/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/7/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/5/2003

General Securities Sales Supervisor - Options Module 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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Firm Stability Insights

Anthony T. Corce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Thomas Corce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

EDWARD JONES

EDWARD JONES

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2006

Series 63

Date: 8/14/2001

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2001

Series 53

Date: 7/13/2005

Series 24

Date: 8/20/2003

Series 10

Date: 4/7/2003

Series 9

Date: 3/5/2003

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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