Gwen M. Berkenpas
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.
Gwen Marie Berkenpas, who also goes by Gwen M Berkenpas, was a registered financial professional .
Gwen is a previously registered financial professional and started their career in finance in 2000. Gwen had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - June 6, 2025
CETERA INVESTMENT ADVISERS LLC
September 12, 2016 - June 6, 2025
CETERA INVESTMENT SERVICES LLC
February 18, 2011 - September 1, 2016
ROBERT W. BAIRD & CO. INCORPORATED
February 18, 2011 - September 1, 2016
ROBERT W. BAIRD & CO. INCORPORATED
June 1, 2009 - February 28, 2011
MORGAN STANLEY
June 1, 2009 - February 28, 2011
MORGAN STANLEY
November 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 5, 2002 - September 6, 2007
WELLS FARGO INVESTMENTS, LLC
June 4, 2001 - July 2, 2002
OSAIC WEALTH, INC.
May 12, 2000 - May 17, 2001
MORGAN STANLEY DW 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.
