CB
Christopher J. Braccia
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 3273855
CB
Professional summary
Christopher J Braccia, AIF®, who also goes by Chris J Braccia, Chris Braccia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA ADVISORS LLC located in Ridgefield, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris J Braccia | Chris Braccia
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.)MANHATTAN RIDGE ADVISORS LTD; EMPLOYEE; DBA/Insurance; START DATE:11/1/2005. 2.)ASH BROKERAGE; AGENT; INSURANCE; START DATE:10/2006. 3.) EATCLEANSTAYFIT.COM. HEALTH/FITNESS BLOG. VOLUNTEER. STARTED 3/24/2011. SPEND 4 HOURS PER MONTH ON THIS ACTIVITY. 4.) QUANTUM BENEFITS; OTHER; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 05/25/2012; 8 HRS. PER MONTH. 5.) KATZ, NASSAU AGENCY; INDEPENDENT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 06/25/2012; 4 HRS. PER MONTH. 6.) M FINANCIAL/ZENITH MARKETING;INDEPENDANT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 08/10/2012; 12 HRS. PER MONTH. 7.) TRUST INTERMEDIARY; INTERMEDIARY OF THE TRUST; FIDUCIARY POSITION (TRUSTEE, POA, EXECUTOR, ETC.) START DATE 08/01/2022; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher J Braccia'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®
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1460 Broadway, New York, NY 10036RIA
CRD#: 105644
NEW YORK, NY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #2: 1460 Broadway, New York, NY 10036BD
CRD#: 10299
RIDGEFIELD, CT
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
New York, NY
Past
December 9, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
NEW YORK, NY
Past
December 9, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
NEW YORK, NY
Past
September 29, 2008 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
NEW YORK, NY
Past
October 7, 2004 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
NEW YORK, NY
Past
November 18, 1999 - September 23, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
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
Alabama(9/8/2022)
RR
Alaska(9/8/2022)
RR
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
IAR
Connecticut(4/22/2025)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Indiana(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(9/19/2022)
RR
Louisiana(9/8/2022)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/22/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Mississippi(9/8/2022)
RR
Missouri(9/8/2022)
RR
Nebraska(9/8/2022)
RR
Nevada(9/8/2022)
RR
New Hampshire(9/8/2022)
RR
New Jersey(9/8/2022)
RR
New Mexico(9/8/2022)
IAR
New York(10/28/2021)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
North Dakota(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oklahoma(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Rhode Island(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Tennessee(1/4/2024)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Utah(4/8/2024)
RR
Vermont(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
West Virginia(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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
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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.
