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SL

Sophie M. Lancaster

CETERA INVESTMENT ADVISERS
GAINESVILLE, FL 32606
CRD#: 4977599
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SL
Sophie M LancasterCETERA INVESTMENT ADVISERS

Professional summary

Sophie M Lancaster, who also goes by Sophie Marsha Lancaster, Sophie Marsha Tsikirayi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gainesville, Florida and CETERA ADVISORS LLC located in Gainesville, Florida.

Sophie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sophie has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sophie Marsha Lancaster | Sophie Marsha Tsikirayi

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 Sophie M Lancaster'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3600 Nw 43rd St Ste G-2, Gainesville, FL 32606
RIA
CRD#: 105644
GAINESVILLE, FL
Current

January 2, 2015 - Present

CETERA ADVISORS LLC

Office #1: 3600 Nw 43rd St Ste G-2, Gainesville, FL 32606
BD
CRD#: 10299
GAINESVILLE, FL
Past

January 12, 2015 - March 21, 2024

CETERA ADVISORS LLC

RIA
CRD#: 10299
MAITLAND, FL
Past

June 26, 2012 - January 6, 2015

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
GAINSVILLE, FL
Past

June 21, 2012 - January 6, 2015

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
GAINSVILLE, FL
Past

June 10, 2011 - June 21, 2012

BROKERSXPRESS LLC

RIA
CRD#: 127081
GAINESVILLE, FL
Past

June 3, 2011 - June 21, 2012

BROKERSXPRESS LLC

BD
CRD#: 127081
GAINESVILLE, FL
Past

April 7, 2011 - June 7, 2011

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
GAINESVILLE, FL
Past

January 16, 2009 - February 17, 2011

CETERA ADVISORS LLC

RIA
CRD#: 10299
GAINESVILLE, FL
Past

January 2, 2009 - February 17, 2011

CETERA ADVISORS LLC

BD
CRD#: 10299
GAINESVILLE, FL
Past

August 27, 2008 - January 6, 2009

EDWARD JONES

RIA
CRD#: 250
NEWBERRY, FL
Past

May 23, 2006 - January 6, 2009

EDWARD JONES

BD
CRD#: 250
NEWBERRY, FL

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
District of Columbia
(7/17/2019)
RR
Florida
(1/2/2015)
IAR
Florida
(3/21/2024)
RR
Georgia
(1/2/2015)
RR
Indiana
(4/1/2024)
RR
Massachusetts
(10/15/2025)
RR
New York
(5/11/2026)
RR
Pennsylvania
(3/19/2026)
RR
South Carolina
(4/17/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/1/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/25/2006
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 7
Date: 5/22/2006
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#: 105644Gainesville, FL 32606

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