Michael H. Kellermann
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.
Michael Henry Kellermann, who also goes by Michael Henry Kellerman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 65, 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
April 15, 2016 - January 25, 2019
CETERA INVESTMENT ADVISERS LLC
April 15, 2016 - January 25, 2019
CETERA INVESTMENT SERVICES LLC
April 16, 2012 - April 15, 2016
LPL FINANCIAL LLC
April 16, 2012 - April 15, 2016
LPL FINANCIAL LLC
January 24, 2012 - April 16, 2012
COMMERCE BROKERAGE SERVICES, INC.
March 16, 2009 - April 16, 2012
COMMERCE BROKERAGE SERVICES, INC.
August 16, 2002 - March 3, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 18, 1999 - July 22, 2002
SECURITIES MANAGEMENT & RESEARCH, 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.
