Kristy M. Haley

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 4022155

Professional summary

Kristy Marie Haley, who also goes by Kristy Marie Hendricks, Kristy Marie Hendricks, Kristy Marie VItkuske, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA INVESTMENT MANAGEMENT LLC located in El Segundo, California.

Kristy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kristy has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristy Marie Hendricks | Kristy Marie Hendricks | Kristy Marie Vitkuske

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristy Marie Haley'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

May 1, 2012 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

EL SEGUNDO, CA

Current

January 19, 2016 - Present

CETERA INVESTMENT MANAGEMENT LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 165436

EL SEGUNDO, CA

Current

April 19, 2024 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 106237

EL SEGUNDO, CA

Current

March 11, 2011 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

March 11, 2011 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

March 11, 2011 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Current

May 1, 2012 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Past

April 19, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

EL SEGUNDO, CA

Past

April 18, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 11, 2012 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

March 11, 2011 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

May 30, 2008 - March 4, 2011

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

May 28, 2008 - March 4, 2011

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

August 15, 2006 - May 22, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

TAMPA, FL

Past

August 14, 2006 - May 22, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 10, 2006 - July 17, 2006

FPC SERVICES, INC.

RIA

CRD#: 123303

TAMPA, FL

Past

November 30, 2005 - August 4, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

TAMPA, FL

Past

August 6, 2002 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

TAMPA, FL

Past

April 2, 2001 - July 29, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, 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".

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

California
(3/11/2011)

IAR

California
(5/1/2012)

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 65

Date: 12/5/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2001

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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Advisor Monitoring

Firm Stability Insights

Kristy M. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristy Marie Haley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT MANAGEMENT LLC

AVANTAX PLANNING PARTNERS, INC.

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

FPC SERVICES, INC.

FSC SECURITIES CORPORATION

PAN-AMERICAN FINANCIAL ADVISERS

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2005

Series 63

Date: 8/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/31/2001

Series 14

Date: 1/2/2023

Series 24

Date: 10/3/2001

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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