GL
Gregg W. Lapenta
CETERA INVESTMENT ADVISERS LLC
RENO, NV 89511
Some features on this profile are disabled
CRD#: 4515946
GL
Professional summary
Gregg William Lapenta is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Reno, Nevada and CETERA WEALTH SERVICES, LLC located in Reno, Nevada.
Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Gregg has worked at 4 firms and has passed the Series 66, SIE and Series 7 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: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 03/2018
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
2. NAME OF OTHER BUSINESS: GREATER NEVADA FINANCIAL SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 03/2018
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR ON CREDIT UNION PREMISES
CRS (Client Relationship Summary) - RIA
Click below to view Gregg William Lapenta'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 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6745 Sierra Center Parkway, Reno, NV 89511Office #2: 1101 Los Altos Parkway, Sparks, NV 89436RIA
CRD#: 105644
RENO, NV
Current
March 29, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6745 Sierra Center Parkway, Reno, NV 89511BD
CRD#: 13572
Reno, NV
Past
March 30, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Las Vegas, NV
Past
April 15, 2004 - April 3, 2018
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
CARSON CITY, NV
Past
April 15, 2004 - April 3, 2018
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
CARSON CITY, NV
Past
July 19, 2002 - April 9, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RENO, NV
Past
May 6, 2002 - April 9, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(3/29/2018)
RR
California(3/29/2018)
RR
Colorado(3/29/2018)
RR
Connecticut(3/29/2018)
RR
Idaho(3/29/2018)
RR
Iowa(3/5/2020)
RR
Michigan(6/15/2023)
RR
Minnesota(3/29/2018)
RR
Montana(11/20/2024)
RR
Nevada(3/29/2018)
IAR
Nevada(6/29/2023)
RR
New Mexico(8/20/2019)
RR
North Carolina(1/4/2022)
RR
Oregon(8/20/2019)
RR
Tennessee(12/6/2021)
RR
Texas(3/29/2018)
IAR
Texas(6/29/2023)
RR
Utah(3/29/2018)
RR
Washington(1/4/2022)
RR
Wisconsin(1/2/2019)
Exams
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
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)
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.
