Aleisha A. Bemis
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.
Aleisha Anne Bemis was a registered financial professional .
Aleisha is a previously registered financial professional and started their career in finance in 2004. Aleisha had worked at 14 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2025 - October 9, 2025
CETERA INVESTMENT ADVISERS LLC
September 15, 2025 - October 9, 2025
CETERA INVESTMENT SERVICES LLC
April 21, 2016 - April 29, 2025
MORGAN STANLEY
April 21, 2016 - April 29, 2025
MORGAN STANLEY
June 2, 2015 - October 19, 2015
CETERA ADVISORS LLC
June 2, 2015 - October 19, 2015
CETERA ADVISORS LLC
November 22, 2013 - May 29, 2014
HARRIS & ASSOCIATES
August 27, 2013 - May 28, 2014
PURSHE KAPLAN STERLING INVESTMENTS
March 29, 2012 - August 14, 2013
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
March 29, 2012 - August 14, 2013
VP DISTRIBUTORS LLC
April 29, 2011 - June 21, 2011
S F SENTRY SECURITIES, INC.
April 26, 2011 - June 21, 2011
SAN FRANCISCO SENTRY INVESTMENT GROUP
June 17, 2009 - March 31, 2011
HOWE BARNES CAPITAL MANAGEMENT, INC.
June 17, 2009 - March 31, 2011
HOWE BARNES HOEFER & ARNETT, INC.
June 16, 2005 - October 4, 2007
GOLDMAN SACHS & CO. LLC
May 24, 2004 - January 28, 2005
FORESIDE FUND SERVICES, 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
Current 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.
