AS
Amitrajya Saraogi
CETERA INVESTMENT ADVISERS LLC
DENVER, CO 80237
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CRD#: 4601347
AS
Professional summary
Amitrajya Saraogi, who also goes by Amit R Saraogi, Amit Saraogi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA ADVISORS LLC located in Denver, Colorado.
Amitrajya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Amitrajya has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amit R Saraogi | Amit Saraogi
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: BANYAN WEALTH MANAGEMENT LLC ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FINANCIAL SERVICES ;
START DATE: 08/2014 ;
POSITION/TITLE/RELATIONSHIP: OWNER / MANAGER / ORGANIZER AND MEMBER OF LLC ;
APX NUMBER OF HOURS PER WEEK: 40 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ;
BRIEF DESCRIPTION OF DUTIES: INVESTMENT AND ADVISORY ACTIVITIES ;
2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FIXED INSURANCE ;
START DATE: 02/2019 ;
APX NUMBER OF HOURS PER WEEK: 1 ;
APX NUMBER OF HOURS DURING TRADING HOURS:1 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ;
CRS (Client Relationship Summary) - RIA
Click below to view Amitrajya Saraogi'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4600 S Syracuse St Suite 900, Denver, CO 80237RIA
CRD#: 105644
DENVER, CO
Current
March 4, 2009 - Present
CETERA ADVISORS LLC
Office #1: 4600 S Syracuse St Suite 900, Denver, CO 80237BD
CRD#: 10299
Denver, CO
Past
April 2, 2009 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
AURORA, CO
Past
December 11, 2006 - February 2, 2009
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
July 24, 2003 - November 16, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 24, 2003 - November 16, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(6/30/2009)
RR
Arkansas(11/17/2014)
RR
California(6/30/2009)
RR
Colorado(3/4/2009)
IAR
Colorado(3/21/2024)
RR
Connecticut(4/21/2020)
RR
Florida(6/30/2009)
RR
Georgia(1/8/2024)
RR
Idaho(6/30/2009)
RR
Illinois(6/30/2009)
RR
Kentucky(1/8/2024)
RR
Maryland(6/30/2009)
RR
Massachusetts(6/30/2009)
RR
Michigan(6/30/2009)
RR
Minnesota(4/9/2009)
RR
Missouri(6/30/2009)
RR
Nevada(6/30/2009)
RR
New Mexico(4/9/2009)
RR
New York(6/30/2009)
RR
North Carolina(6/30/2009)
RR
Ohio(4/13/2009)
RR
Oklahoma(6/30/2009)
RR
Oregon(6/30/2009)
RR
Pennsylvania(6/30/2009)
RR
Texas(1/3/2011)
IAR
Texas(3/21/2024)
RR
Utah(1/4/2023)
RR
Vermont(6/30/2009)
RR
Virginia(6/30/2009)
RR
Washington(6/30/2009)
RR
Wisconsin(1/2/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
