Michael F. Tarpy
Professional summary
Michael Fay Tarpy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santee, California and CETERA FINANCIAL SPECIALISTS LLC located in Santee, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Fay Tarpy's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2012 - Present
CETERA INVESTMENT ADVISERS LLC
December 18, 2003 - Present
CETERA FINANCIAL SPECIALISTS 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
(2/21/2019)
(1/2/2004)
(6/12/2012)
(7/13/2016)
(1/2/2008)
(2/6/2017)
(1/29/2021)
(6/13/2022)
(9/1/2004)
(7/22/2016)
(2/23/2023)
(1/29/2021)
(1/6/2021)
Exams
FINRA
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
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