Ni N. Mar

CETERA INVESTMENT ADVISERS LLC

PALOS VERDES, CA 90274

Some features on this profile are disabled

CRD#: 4447587

Professional summary

Ni Ni Mar is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Palos Verdes, California and CETERA INVESTMENT SERVICES LLC located in Palos Verdes, California.

Ni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ni has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

BRANCH MANAGER AT EAST WEST BANK; BUILD AND DEVELOP BRANCH STAFF; LEAD BRANCH IN GROWTH AND CUSTOMER RETENTION; ACHIEVE PERSONAL SALES GOALS AND PROCESS BUSINESS BANKING LOAN REQUESTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ni Ni Mar'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®

None

Experience

Current

October 12, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 27421 Hawthorne Boulevard, Palos Verdes, CA 90274

RIA

CRD#: 105644

PALOS VERDES, CA

Current

October 12, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 27421 Hawthorne Boulevard, Palos Verdes, CA 90274

CRD#: 15340

PALOS VERDES, CA

Past

July 5, 2011 - September 29, 2015

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

TORRANCE, CA

Past

July 5, 2011 - September 29, 2015

HSBC SECURITIES (USA) INC.

CRD#: 19585

TORRANCE, CA

Past

August 14, 2007 - June 15, 2011

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TORRANCE, CA

Past

May 29, 2007 - June 15, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TORRANCE, CA

Past

February 5, 2003 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

TORRANCE, CA

Past

August 22, 2002 - February 5, 2003

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

December 10, 2001 - May 2, 2002

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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

California
(10/12/2015)

IAR

California
(10/12/2015)

Texas
(5/30/2024)

IAR

Texas
(5/30/2024)

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

IAR

Series 66

Date: 8/6/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2001

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ni N. Mar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ni Ni Mar's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2007

Series 63

Date: 1/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2007

Series 6

Date: 12/7/2001

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

Similar Advisors