OA
Olivier Allain
CETERA INVESTMENT ADVISERS LLC
HUNTINGTON STATION, NY 11746
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CRD#: 4265775
OA
Professional summary
Olivier Allain is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntington Station, New York and CETERA WEALTH SERVICES, LLC located in Huntington Station, New York.
Olivier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Olivier has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: CHARLES RUTENBERG REALTY, INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 07/2021; POSITION/TITLE/RELATIONSHIP: REALTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE AGENT, ASSISTING POTENTIAL CLIENTS TO BUY OR SELL PROPERTIES; 2. NAME OF OTHER BUSINESS: CONSERVATIVE WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA USED FOR FINANCIAL PRACTICE; START DATE: 05/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA USED FOR FINANCIAL PRACTICE;
CRS (Client Relationship Summary) - RIA
Click below to view Olivier Allain'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®
NoneExperience
Current
July 21, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 720 East Jericho Turnpike Suite 1, Huntington Station, NY 11746RIA
CRD#: 105644
HUNTINGTON STATION, NY
Current
July 21, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 720 East Jericho Turnpike Suite 1, Huntington Station, NY 11746BD
CRD#: 13572
HUNTINGTON STATION, NY
Past
June 24, 2019 - July 25, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Huntinton Station, NY
Past
August 10, 2015 - July 25, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
HUNTINGTON STA, NY
Past
July 30, 2004 - August 25, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
HUNTINGTON STATION, NY
Past
February 26, 2001 - August 3, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
February 15, 2001 - February 15, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 15, 2001 - March 26, 2001
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, 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
Arizona(7/21/2025)
RR
California(7/21/2025)
RR
Colorado(7/21/2025)
RR
Connecticut(7/21/2025)
RR
Delaware(7/21/2025)
RR
District of Columbia(7/21/2025)
RR
Florida(7/21/2025)
RR
Georgia(7/21/2025)
RR
Illinois(7/21/2025)
RR
Indiana(8/5/2025)
RR
Massachusetts(7/21/2025)
RR
New Jersey(7/21/2025)
RR
New Mexico(7/21/2025)
RR
New York(7/21/2025)
IAR
New York(7/21/2025)
RR
North Carolina(8/4/2025)
RR
Ohio(7/22/2025)
RR
Pennsylvania(7/21/2025)
RR
Puerto Rico(7/21/2025)
RR
South Carolina(7/21/2025)
RR
Texas(7/21/2025)
IAR
Texas(7/21/2025)
RR
Utah(7/21/2025)
RR
Virginia(7/21/2025)
RR
West Virginia(7/21/2025)
Exams
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.
