GM
Gary K. Malkasian
CETERA INVESTMENT ADVISERS LLC
SACRAMENTO, CA 95825
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CRD#: 3223879
GM
Professional summary
Gary Kaspar Malkasian, who also goes by Gary K Malkasian, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sacramento, California and CETERA WEALTH SERVICES, LLC located in Sacramento, California.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Gary has worked at 8 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary K Malkasian
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: MALKASIAN ACCOUNTANCY, LLP ; INVESTMENT RELATED: NO ; ADDRESS: NATURE OF BUSINESS: CPA FIRM ; START DATE: 01/2002 ; APX NUMBER OF HOURS PER WEEK: 35 ; APX NUMBER OF HOURS DURING TRADING HOURS: 35 ; BRIEF DESCRIPTION OF DUTIES: OWNER ; 2. NAME OF OTHER BUSINESS: MALKASIAN WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2014 ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; BRIEF DESCRIPTION OF DUTIES: OWNER - DBA FOR FINANCIAL SERVICES ; 3. NAME OF OTHER BUSINESS: GARY K. MALKASIAN INSURANCE AND FINANCIAL SERVICES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2014 ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; BRIEF DESCRIPTION OF DUTIES: OWNER - DBA FOR FINANCIAL SERVICES ; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 06/03/2016 ; APX NUMBER OF HOURS PER WEEK: 2-4 HOURS ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES, AND LONG TERM CARE ; 5. NAME OF OTHER BUSINESS: GYPSY MAGIC EQUINE OUTREACH ; INVESTMENT RELATED: NO ADDRESS: 14101 INDIO DRIVE, SLOUGHHOUSE CA 95683 ; NATURE OF BUSINESS: CHARITY ; START DATE: 12/2018 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: KEEP THE BOOKS, BUT NOT ABLE TO SIGN CHECKS ; 6. NAME OF OTHER BUSINESS: DEL PASO COUNTRY CLUB, INVESTMENT RELATED: NO, ADDRESS: 3333 MARCONI AVE, SACRAMENTO, CA 95821 NATURE OF BUSINESS: COUNTRY CLUB, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: V0, BRIEF DESCRIPTION OF DUTIES: TO BE CO-CHAIR OF THE FINANCE COMMITTEE;
CRS (Client Relationship Summary) - RIA
Click below to view Gary Kaspar Malkasian'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2233 Watt Ave Ste 290, Sacramento, CA 95825RIA
CRD#: 105644
SACRAMENTO, CA
Current
September 25, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2233 Watt Ave Ste 290, Sacramento, CA 95825BD
CRD#: 13572
SACRAMENTO, CA
Past
September 25, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 17, 2012 - September 25, 2015
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SACRAMENTO, CA
Past
September 14, 2012 - September 25, 2015
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SACRAMENTO, CA
Past
June 8, 2010 - September 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SACRAMENTO, CA
Past
June 4, 2010 - September 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SACRAMENTO, CA
Past
April 29, 2010 - May 25, 2010
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
April 28, 2010 - May 25, 2010
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
May 9, 2007 - April 29, 2010
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
SACRAMENTO, CA
Past
March 22, 2007 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
CALABASAS, CA
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
California(9/25/2015)
IAR
California(6/29/2023)
RR
Colorado(1/11/2021)
RR
Florida(1/24/2022)
RR
Idaho(4/8/2024)
RR
Massachusetts(5/23/2024)
RR
Nevada(9/2/2021)
RR
New Mexico(9/25/2015)
RR
Oregon(1/3/2023)
RR
Texas(11/25/2022)
IAR
Texas(6/29/2023)
RR
Wisconsin(9/25/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sacramento, CA 95825TRUST BUT VERIFY
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