Kristy A. Grauer

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 4793203

Professional summary

Kristy Anne Grauer, who also goes by Kristy Anne Grauer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Kristy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kristy has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristy Anne Grauer

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: DOORDASH INVESTMENT RELATED: NO ADDRESS: LOS ANGELES, CA NATURE OF BUSINESS: FOOD DELIVERY START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: DELIVERY DRIVER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: FOOD DELIVERY SERVICE; (2) NAME OF OTHER BUSINESS: MAIN STREET AXE COMPANY, INVESTMENT RELATED: NO, ADDRESS: 216 S BROADWAY ST, PITTSBURG, PA, 66762, NATURE OF BUSINESS: CONSULTING, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: CONSULTANT, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OPERATIONAL RECOMMENDATIONS, PROOFREADING/EDITING WEBSITE AND DOCUMENTS, OTHER AD HOX BUSINESS PROJECTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristy Anne Grauer'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: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

EL SEGUNDO, CA

Current

November 2, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

November 2, 2020 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

EL SEGUNDO, CA

Current

November 2, 2020 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

November 2, 2020 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

January 10, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

EL SEGUNDO, CA

Past

November 3, 2020 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

November 2, 2020 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

EL SEGUNDO, CA

Past

April 26, 2016 - November 4, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Austin, TX

Past

October 24, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

BREA, CA

Past

February 28, 2014 - November 4, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BREA, CA

Past

March 13, 2013 - November 10, 2014

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

AUSTIN, TX

Past

February 15, 2013 - March 7, 2014

LPL FINANCIAL LLC

CRD#: 6413

BREA, CA

Past

June 1, 2009 - February 27, 2013

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

June 1, 2009 - February 27, 2013

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

August 12, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BREA, CA

Past

August 1, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BREA, CA

Past

April 2, 2007 - October 22, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

BREA, CA

Past

October 25, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BREA, CA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(11/2/2020)

IAR

California
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/25/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/15/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/23/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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 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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Kristy A. Grauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristy Anne Grauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA PRIVATE WEALTH SERVICES, LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2008

Series 63

Date: 9/25/2006

SIE

Date: 10/1/2018

Series 31

Date: 8/15/2008

Series 7

Date: 10/23/2004

Series 24

Date: 7/1/2017

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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