Gregg A. Fuller
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.
Gregg Alan Fuller, who also goes by Greg Fuller, was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 2006. Gregg had worked at 3 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2014 - January 9, 2017
CETERA INVESTMENT ADVISERS LLC
December 19, 2014 - January 9, 2017
CETERA INVESTMENT SERVICES LLC
April 23, 2014 - December 2, 2014
CETERA INVESTMENT ADVISERS LLC
April 23, 2014 - December 2, 2014
CETERA INVESTMENT SERVICES LLC
April 1, 2008 - October 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2006 - October 30, 2012
WELLS FARGO CLEARING SERVICES, 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
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.
