Agnieszka Iaria
Professional summary
Agnieszka Iaria, who also goes by Aggie Iaria, Agnieszka Zubrowska-iaria, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado and CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.
Agnieszka is registered as a RR (Registered Representative) and started their career in finance in 2000. Agnieszka has worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Agnieszka Iaria's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111September 26, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111September 26, 2018 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111September 26, 2018 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111September 26, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
September 26, 2018 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
March 6, 2015 - June 1, 2018
NORTHSTAR SECURITIES, LLC
March 13, 2013 - March 25, 2013
CETERA WEALTH SERVICES, LLC
February 6, 2013 - March 25, 2013
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - March 25, 2013
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - March 25, 2013
CETERA WEALTH SERVICES, LLC
October 18, 2012 - March 25, 2013
CETERA INVESTMENT ADVISERS LLC
October 18, 2012 - March 25, 2013
CETERA FINANCIAL SPECIALISTS LLC
February 7, 2003 - March 25, 2013
CETERA ADVISORS LLC
September 26, 2002 - December 31, 2003
VESTAX SECURITIES CORPORATION
July 19, 2002 - December 31, 2003
IFG NETWORK SECURITIES, INC.
April 6, 2001 - March 25, 2013
CETERA ADVISORS LLC
October 25, 2000 - March 6, 2001
IDS LIFE INSURANCE COMPANY
October 25, 2000 - March 6, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2018)
(9/26/2018)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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