LS
Louis A. Sclafani
CETERA INVESTMENT ADVISERS LLC
GLENDALE, CA 91208
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CRD#: 4480975
LS
Professional summary
Louis Anthony Sclafani is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glendale, California and CETERA FINANCIAL SPECIALISTS LLC located in Glendale, California.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Louis has worked at 2 firms and has passed the Series 65, Series 63, Series 66, SIE 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.
1) NAME OF OTHER BUSINESS: COLDWELL, SCLAFANI & COMPANY LLP CPAs ;
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: CPA PUBLIC ACCOUNTING & TAX PRACTICE ;
START DATE: 01/1989;
POSITION/TITLE/RELATIONSHIP: CO-OWNER / CPA ;
APX NUMBER OF HOURS PER WEEK: 50 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ;
BRIEF DESCRIPTION OF DUTIES: LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS ;
2) NAME OF OTHER BUSINESS: MOTHER'S TRUSTS
INVESTMENT RELATED: NO
ADDRESS: 5222 ESCALANTE DR LA CANADA, CA 91011
NATURE OF BUSINESS: TRUSTS
START DATE: 11/2016
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: TRUSTEE
BRIEF DESCRIPTION OF DUTIES: FINAL ADMINISTRATION OF TWO TRUSTS
3) SCLAFANI WEALTH ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 09/2018, REGISTERED REPRESENTATIVE
APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
4)NAME OF OTHER BUSINESS: RENTAL PROPERTY;
INVESTMENT RELATED: NO;
ADDRESS: 3223 SAGAMORE WAY, LOS ANGELES, CA 90065;
NATURE OF BUSINESS: RENTAL PROPERTY;
START DATE: 01/2019;
POSITION/TITLE/RELATIONSHIP: OWNER / LANDLORD;
APX NUMBER OF HOURS PER WEEK: LESS THAN 2;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 2;
BRIEF DESCRIPTION OF DUTIES: OWNER AND LANDLORD OF RESIDENTIAL RENTAL PROPERTY;
5) NAME OF OTHER BUSINESS: TRUST ;
INVESTMENT RELATED: NO
ADDRESS: 5222 ESCALANTE DR, LA CANADA CA 91011 ;
NATURE OF BUSINESS: FAMILY TRUST ;
START DATE: 12/2020 ;
POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE
APX NUMBER OF HOURS PER WEEK: VARIES ;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ;
BRIEF DESCRIPTION OF DUTIES: CO-TRUSTEE WITH SPOUSE FOR TRUSTS CREATED FBO SISTERS CHILDREN ;
CRS (Client Relationship Summary) - RIA
Click below to view Louis Anthony Sclafani'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
June 17, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3239 North Verdugo Road, Glendale, CA 91208RIA
CRD#: 105644
GLENDALE, CA
Current
January 8, 2002 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3239 North Verdugo Road, Glendale, CA 91208BD
CRD#: 10358
Glendale, CA
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(4/23/2008)
RR
California(1/18/2002)
IAR
California(6/17/2004)
Exams
State Security Law Exam
State Security Law Exam
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
