Linda D. Vernell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Diane Vernell, who also goes by Linda Diane Caraway, Linda Diane Gilk, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1999. Linda had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2015 - September 18, 2020
CETERA INVESTMENT ADVISERS LLC
July 2, 2015 - September 18, 2020
CETERA INVESTMENT SERVICES LLC
December 15, 2014 - June 12, 2015
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - June 12, 2015
PNC WEALTH MANAGEMENT LLC
January 6, 2004 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 16, 1999 - October 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 16, 1999 - October 20, 2003
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
