Robert J. Pitois
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.
Robert J Pitois, CFP®, CPWA® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 6 firms and has passed the Series 66, 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
March 1, 2023 - October 18, 2023
CETERA INVESTMENT ADVISERS LLC
March 1, 2023 - October 18, 2023
CETERA INVESTMENT SERVICES LLC
February 1, 2018 - March 7, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
January 31, 2018 - March 7, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 9, 2012 - January 29, 2018
CITY NATIONAL SECURITIES, INC.
December 10, 2009 - January 29, 2018
CITY NATIONAL SECURITIES, INC.
October 23, 2009 - November 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 30, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 9, 2003 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2003 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
