Ronald W. Mammen

CETERA INVESTMENT ADVISERS LLC

EL DORADO HILLS, CA 95762

Some features on this profile are disabled

CRD#: 318307

Professional summary

Ronald William Mammen, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Dorado Hills, California and CETERA WEALTH SERVICES, LLC located in El Dorado Hills, California.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Ronald has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Retirement Income Management

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 SALES; LIFE AND ANNUITIES. (2) NAME OF OTHER BUSINESS: MAMMEN FINANCIAL SERVICES INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CORPORATION ; START DATE: 08/2002 ; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT /CEO ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: SIGN TAX RETURNS, LEASES AND FINANCIAL STATEMENTS, INFORMATIONAL NEWSLETTER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald William Mammen'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1107 Investment Blvd Ste 145, El Dorado Hills, CA 95762

RIA

CRD#: 105644

EL DORADO HILLS, CA

Current

May 25, 1984 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1107 Investment Blvd Ste 145, El Dorado Hills, CA 95762

CRD#: 13572

El Dorado Hills, CA

Past

July 8, 1997 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

RENO, NV

Past

November 24, 1971 - July 6, 1982

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

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
(1/28/2003)

Arkansas
(3/21/2007)

California
(5/25/1984)

IAR

California
(6/29/2023)

Colorado
(5/8/2006)

Florida
(3/22/2017)

Georgia
(5/5/2008)

Hawaii
(1/29/2019)

Idaho
(3/28/2013)

Illinois
(1/3/2005)

Indiana
(6/1/2020)

Kansas
(1/7/2020)

Louisiana
(1/7/2020)

Maryland
(1/27/2016)

Massachusetts
(1/7/2020)

Michigan
(4/8/2022)

Minnesota
(1/7/2020)

Missouri
(2/21/2019)

Montana
(1/4/2006)

Nebraska
(6/13/2018)

Nevada
(12/8/1986)

New Mexico
(1/7/2020)

North Carolina
(1/7/2020)

North Dakota
(1/7/2020)

Ohio
(3/29/2018)

Oklahoma
(1/2/2004)

Oregon
(7/8/2008)

Pennsylvania
(1/31/2023)

South Carolina
(4/25/2017)

South Dakota
(1/6/2017)

Tennessee
(3/23/2006)

Texas
(3/20/2008)

IAR

Texas
(6/29/2023)

Utah
(4/24/2019)

Washington
(5/31/1995)

Wisconsin
(8/6/2013)

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

Series 63

Date: 9/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/18/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 12/30/1975

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ronald W. Mammen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald William Mammen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/18/1971

Series 24

Date: 1/2/2023

Series 00

Date: 12/30/1975

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

Contact information

Similar Advisors