Paul H. Laite
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.
Paul Henry Laite, who also goes by Paul Laite, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2003. Paul had worked at 7 firms and has passed the Series 66, Series 63 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
March 10, 2014 - August 15, 2014
CETERA INVESTMENT ADVISERS LLC
April 11, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
April 11, 2013 - August 15, 2014
CETERA INVESTMENT SERVICES LLC
July 26, 2011 - February 15, 2013
FIFTH THIRD SECURITIES, INC.
July 25, 2011 - February 15, 2013
FIFTH THIRD SECURITIES, INC.
November 16, 2009 - July 11, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - July 11, 2011
PNC WEALTH MANAGEMENT LLC
October 10, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 14, 2004 - August 24, 2006
FIDELITY BROKERAGE SERVICES LLC
March 3, 2003 - March 9, 2004
EDWARD JONES
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.
