Elizabeth T. Mchale
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.
Elizabeth Theresa Mchale, who also goes by Elizabeth Theresa Kuenzel, Elizabeth Kuenzel, Beth Mchale, Elizabeth Theresa Mchale, Elizabeth Mchale, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2004. Elizabeth had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2025 - April 29, 2025
CETERA INVESTMENT ADVISERS LLC
July 10, 2024 - April 29, 2025
CETERA WEALTH SERVICES, LLC
January 7, 2016 - August 4, 2021
VOYA FINANCIAL ADVISORS, INC.
July 29, 2014 - August 4, 2021
VOYA FINANCIAL ADVISORS, INC.
November 5, 2008 - July 21, 2014
MML INVESTORS SERVICES, LLC
March 2, 2007 - October 17, 2008
VOYA RETIREMENT ADVISORS, LLC
May 26, 2004 - September 13, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
Series 7TO
Date: 3/7/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/7/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 3/7/2024
Municipal Securities Representative ExaminationCurrent 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.
