KB
Keith Balla
CETERA INVESTMENT ADVISERS LLC
CRANFORD, NJ 07016
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CRD#: 5132750
KB
Professional summary
Keith Balla is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cranford, New Jersey and CETERA WEALTH SERVICES, LLC located in Cranford, New Jersey.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Keith has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) NJ STATE BOARD OF ACCOUNTANCY POSITION: BOARD MEMBER NATURE: NJ STATE BOARD INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 1 START DATE: 04/30/2016 ADDRESS: Newark NJ 07101, United States DESCRIPTION: Regulates the practice of accounting in the State of NJ; review complaints and matters to protect the public interest with regard to the public practice of accounting in NJ 2) ATLANTIC WAVERIDERS LLC - RENTAL REAL ESTATE POSITION: IRA owner of interest in LLC owning real estate NATURE: commercial rental real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2016 ADDRESS: Long Branch NJ United States DESCRIPTION: collect rent pay taxes and utilities bills 3) B.M.W. RESTORATIONS, INC POSITION: President NATURE: General construction contracting INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 45 Shawnee dr, Watchung NJ 07069, United States DESCRIPTION: Oversee trades and outside contractors for construction rehab work 4) BOROUGH OF WATCHUNG POSITION: Mayor NATURE: Mayor of the Borough and approve and sign payments on behalf of Borough after approved by the Borough Council Resolutions INVESTMENT RELATED: No NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 24 START DATE: 01/03/2019 ADDRESS: 15 Mountain Blvd, Watchung NJ 07069, United States DESCRIPTION: Chief executive of the Borough of Watchung and responsible for town administration 5) U/W ANGELA FLORENTINO FAMILY TRUST POSITION: Trustee NATURE: Manage financial affairs of the Trust and pay distributions to beneficiary pursuant to the trust INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/24/2021 ADDRESS: 20 commerce dr, Suite 301, cranford NJ 07016, United States DESCRIPTION: deposit any proceeds or income and pay expenses of assets owned by the trust and pay distributions to beneficiary
CRS (Client Relationship Summary) - RIA
Click below to view Keith Balla's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20 Commerce Drive Suite 301, Cranford, NJ 07016RIA
CRD#: 105644
CRANFORD, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20 Commerce Drive Suite 301, Cranford, NJ 07016BD
CRD#: 13572
CRANFORD, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CRANFORD, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CRANFORD, NJ
Past
May 30, 2014 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CRANFORD, NJ
Past
January 13, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CRANFORD, NJ
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
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
