Michael A. Chamberlain

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 3217674

Professional summary

Michael Aric Chamberlain is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 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.

DOLORES CHAMBERLAIN; CO-EXECUTOR; FIDUCIARY POSITION; START DATE 10/01/2015; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Aric Chamberlain'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway 11th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

March 4, 2022 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Past

January 14, 2022 - March 4, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN DIEGO, CA

Past

April 13, 2020 - March 4, 2022

CETERA ADVISORS LLC

CRD#: 10299

SAN DIEGO, CA

Past

August 6, 2013 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN DIEGO, CA

Past

August 5, 2013 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

HARLINGEN, TX

Past

January 3, 2008 - August 6, 2013

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

January 9, 2007 - August 6, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

December 18, 2006 - January 10, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

AUSTIN, TX

Past

July 5, 2005 - October 26, 2006

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

January 23, 2004 - July 1, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 1, 2003 - December 4, 2003

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

August 21, 2000 - September 1, 2003

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

May 21, 1999 - August 14, 2000

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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

IAR

California
(11/12/2020)

California
(9/8/2022)

IAR

Texas
(3/10/2022)

Texas
(9/8/2022)

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: 12/21/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional 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: 5/10/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/30/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/9/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2007

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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Firm Stability Insights

Michael A. Chamberlain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Aric Chamberlain's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

INVESCO DISTRIBUTORS, INC.

BANC ONE SECURITIES CORPORATION

INVESCO DISTRIBUTORS, INC.

INVESCO DISTRIBUTORS, INC.

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2007

Series 63

Date: 10/20/2000

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2007

Series 6

Date: 5/20/1999

Series 4

Date: 12/30/2013

Series 53

Date: 11/9/2007

Series 24

Date: 6/8/2007

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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