Neetu V. Khiantani

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77027

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CRD#: 4121082

Professional summary

Neetu V Khiantani, CFP®, who also goes by Neetu Hemrajani, Neetu V Hiantani, Neetu VInod Khiantani, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA INVESTMENT SERVICES LLC located in Houston, Texas.

Neetu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Neetu has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neetu Hemrajani | Neetu V Hiantani | Neetu Vinod Khiantani

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.

R.S. Advisors,LLC; 13506 Schumann Trail, Sugar Land, TX; 281-995-7248, Math tutoring services for kids k-12, operated by spouse; HWIS clients - None; Director; 50; duties - non;, compensation - 0; hrs - 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neetu V Khiantani'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

June 21, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Kirby Drive # 100, Houston, TX 77027

RIA

CRD#: 105644

HOUSTON, TX

Current

June 21, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Kirby Drive Suite 1100, Houston, TX 77098

CRD#: 15340

Houston, TX

Past

October 30, 2020 - June 19, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Houston, TX

Past

October 30, 2020 - June 19, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Houston, TX

Past

November 14, 2018 - November 9, 2020

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

HOUSTON, TX

Past

July 17, 2018 - November 9, 2020

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

HOUSTON, TX

Past

September 29, 2009 - December 18, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 9, 2000 - March 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

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

Texas
(6/21/2023)

IAR

Texas
(6/21/2023)

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

Series 63

Date: 12/5/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/25/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2018

General Securities Representative 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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Neetu V. Khiantani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neetu V Khiantani's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2020

Series 66

Date: 3/25/2013

SIE

Date: 11/15/2018

Series 7

Date: 11/14/2018

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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