Sherwin A. Wray
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.
Sherwin Anthony Wray, AIF® was a registered financial professional .
Sherwin is a previously registered financial professional and started their career in finance in 2002. Sherwin had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2018 - October 14, 2025
CETERA INVESTMENT ADVISERS LLC
September 14, 2018 - October 14, 2025
CETERA INVESTMENT SERVICES LLC
September 5, 2017 - February 20, 2018
GENEOS WEALTH MANAGEMENT, INC.
August 9, 2016 - February 19, 2018
CG ADVISORY SERVICES
June 24, 2015 - August 31, 2017
WFG INVESTMENTS, INC.
August 27, 2013 - May 18, 2015
INVEST FINANCIAL CORPORATION
August 26, 2013 - May 18, 2015
INVEST FINANCIAL CORPORATION
April 4, 2012 - March 25, 2013
PNC WEALTH MANAGEMENT LLC
April 4, 2012 - March 25, 2013
PNC WEALTH MANAGEMENT LLC
January 27, 2009 - May 4, 2010
ESSEX NATIONAL SECURITIES, LLC
March 10, 2008 - May 4, 2010
ESSEX NATIONAL SECURITIES, LLC
May 4, 2006 - March 10, 2008
IFMG SECURITIES, INC.
October 10, 2002 - August 20, 2004
IDS LIFE INSURANCE COMPANY
October 10, 2002 - August 20, 2004
AMERIPRISE FINANCIAL 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.
