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Terence Sharma

CETERA INVESTMENT ADVISERS
OVERLAND PARK, KS 66211
CRD#: 4786289
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TS
Terence SharmaCETERA INVESTMENT ADVISERS

Professional summary

Terence Sharma, who also goes by Terence Michael Sharma, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA WEALTH SERVICES, LLC located in Overland Park, Kansas.

Terence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Terence has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Terence Michael Sharma

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terence Sharma's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4400 W 109th St Ste 250, Overland Park, KS 66211
RIA
CRD#: 105644
OVERLAND PARK, KS
Current

March 31, 2022 - Present

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
OVERLAND PARK, KS
Past

March 31, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
Overland Park, KS
Past

July 17, 2019 - April 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LEAWOOD, KS
Past

July 17, 2019 - April 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LEAWOOD, KS
Past

March 23, 2011 - July 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
OVERLAND PARK, KS
Past

March 23, 2011 - July 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
OVERLAND PARK, KS
Past

December 21, 2009 - December 17, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

November 20, 2009 - December 17, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

June 28, 2006 - November 18, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 26, 2004 - June 8, 2006

CATHAY FINANCIAL INC

BD
CRD#: 30065
NEW YORK, NY

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
California
(3/31/2022)
RR
Connecticut
(3/31/2022)
RR
Florida
(3/31/2022)
RR
Kansas
(3/31/2022)
IAR
Kansas
(6/29/2023)
RR
Missouri
(3/31/2022)
RR
New Hampshire
(8/29/2025)
RR
New Jersey
(3/31/2022)
RR
New Mexico
(3/31/2022)
RR
New York
(3/31/2022)
RR
Rhode Island
(9/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 3/30/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/22/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/24/2004
General Securities Representative Examination
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
Registered Investment Advisory firm - (1/13/1984 Approved)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Overland Park, KS 66211

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