Ronald L. La Serra

CETERA INVESTMENT ADVISERS LLC

WESTBURY, NY 11590

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CRD#: 5359267

Professional summary

Ronald Louis La Serra Sr, who also goes by Ronald Louis La Serra Sr, Ronald La Serra Sr, Ronald Laserra, Ronald Louis La Serra, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westbury, New York and CETERA INVESTMENT SERVICES LLC located in Westbury, New York.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ronald has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronald Louis La Serra Sr | Ronald La Serra Sr | Ronald Laserra | Ronald Louis La Serra

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) OWNER OF RENTAL PROPERTY 2) OFFICIATE YOUTH AND HIGH SCHOOL FOOTBALL AND LACROSSE 3) FINRA ABRITRATOR; DISPUTE RESOLUTION FOR INTER-INDUSTRY ARBITRATION CASES 4) CHANCELLOR AT KNIGHTS OF COLUMBUS; RESPONSIBLE FOR RECRUITMENT OF NEW MEMBERS AND MAINTENANCE OF CURRENT MEMBERS; SALES AND SERVICE OF P&C INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Louis La Serra Sr'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

April 16, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590

RIA

CRD#: 105644

WESTBURY, NY

Current

April 17, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590

CRD#: 15340

Westbury, NY

Past

March 20, 2024 - October 14, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOUTH HUNTINGTON, NY

Past

March 20, 2024 - October 14, 2024

LPL FINANCIAL LLC

CRD#: 6413

SOUTH HUNTINGTON, NY

Past

June 22, 2021 - March 8, 2024

EQUITY SERVICES, INC.

RIA

CRD#: 265

HAUPPAUGE, NY

Past

March 16, 2020 - March 8, 2024

EQUITY SERVICES, INC.

CRD#: 265

HAUPPAUGE, NY

Past

June 30, 2014 - June 2, 2020

R & R FINANCIAL PLANNERS, INC.

RIA

CRD#: 113291

EAST MEADOW, NY

Past

February 14, 2013 - March 22, 2020

RNR SECURITIES, L.L.C.

CRD#: 43689

EAST MEADOW, NY

Past

September 19, 2011 - October 17, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

WESTBURY, NY

Past

September 22, 2009 - February 9, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

SYOSSET, NY

Past

November 5, 2008 - May 11, 2009

OSAIC FA, INC.

CRD#: 3978

SYOSSET, NY

Past

July 5, 2007 - November 19, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, 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".

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

District of Columbia
(4/17/2025)

Florida
(4/17/2025)

Massachusetts
(4/17/2025)

IAR

New York
(4/16/2025)

New York
(4/17/2025)

South Carolina
(4/17/2025)

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

Series 63

Date: 8/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/23/2017

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2014

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

Ronald L. La Serra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Louis La Serra Sr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

R & R FINANCIAL PLANNERS, INC.

RNR SECURITIES, L.L.C.

SIGNATOR INVESTORS, INC.

MML INVESTORS SERVICES, LLC

OSAIC FA, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2014

Series 6

Date: 7/3/2007

Series 27

Date: 10/23/2017

Series 24

Date: 10/28/2014

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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