Emmanuel Asuncion

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 5380684

Professional summary

Emmanuel Asuncion, who also goes by Emmanuel Buenaventura Asuncion, Noel Buenaventura Asuncion, 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.

Emmanuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Emmanuel has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emmanuel Buenaventura Asuncion | Noel Buenaventura Asuncion

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 Emmanuel Asuncion'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

January 28, 2019 - Present

CETERA INVESTMENT SERVICES LLC

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

CRD#: 15340

El Segundo, CA

Current

January 28, 2019 - Present

CETERA WEALTH SERVICES, LLC

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

CRD#: 13572

El Segundo, CA

Current

January 28, 2019 - Present

CETERA FINANCIAL SPECIALISTS LLC

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

CRD#: 10358

El Segundo, CA

Current

January 28, 2019 - Present

CETERA ADVISORS LLC

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

CRD#: 10299

El Segundo, CA

Past

January 28, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 28, 2019 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

EL SEGUNDO, CA

Past

January 28, 2019 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

EL SEGUNDO, CA

Past

March 21, 2014 - December 19, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SAN DIEGO, CA

Past

March 21, 2014 - December 19, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SAN DIEGO, CA

Past

January 25, 2010 - February 14, 2014

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

LOS ANGELES, CA

Past

January 15, 2010 - February 14, 2014

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

LOS ANGELES, CA

Past

January 15, 2008 - February 19, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LONG BEACH, CA

Past

January 15, 2008 - February 19, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LONG BEACH, CA

Past

September 7, 2007 - November 26, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LONG BEACH, 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
(1/28/2019)

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: 12/4/2007

Uniform Combined 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: 9/5/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/31/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/15/2015

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 26

Date: 9/26/2014

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Emmanuel Asuncion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmanuel Asuncion's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2007

Series 10

Date: 8/31/2016

Series 9

Date: 10/15/2015

Series 26

Date: 9/26/2014

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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