Michael D. Ament
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.
Michael Dennis Ament JR, who also goes by Michael Dennis Ament Jr, Michael Ament, Mike Ament Jr, Mike Ament, Michael Ament Jr., was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2024 - January 17, 2025
CETERA INVESTMENT ADVISERS LLC
July 26, 2024 - January 17, 2025
CETERA INVESTMENT SERVICES LLC
July 26, 2024 - January 17, 2025
CETERA FINANCIAL SPECIALISTS LLC
July 26, 2024 - January 17, 2025
CETERA ADVISORS LLC
July 26, 2024 - January 17, 2025
CETERA WEALTH SERVICES, LLC
May 29, 2019 - July 8, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 28, 2019 - July 8, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 24, 2014 - March 3, 2015
SECURIAN FINANCIAL SERVICES, INC.
October 1, 2008 - February 22, 2019
GROVE POINT INVESTMENTS, LLC
October 1, 2008 - February 22, 2019
GROVE POINT INVESTMENTS, LLC
January 24, 2008 - October 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2007 - October 2, 2008
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
