Hector A. Mena

CETERA INVESTMENT ADVISERS LLC

Hypoluxo, FL

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CRD#: 5400535

Professional summary

Hector Alberto Mena, who also goes by Hector A Mena, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hypoluxo, Florida and CETERA WEALTH SERVICES, LLC located in Hypoluxo, Florida.

Hector is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Hector has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hector A Mena

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) NAME OF OTHER BUSINESS: HECTOR MENA; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: COLLEGE PLANNING; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: ADVISOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP FAMILIES WITH COLLEGE PLANNINGG TO REDUCE COST WITH VARIOUS FUNDING SOURCES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector Alberto Mena'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

July 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Hypoluxo, FL

Current

November 22, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 167 Yacht Club Way Unit 303, Hypoluxo, FL 33462

CRD#: 13572

Hypoluxo, FL

Past

November 23, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BOCA RATON, FL

Past

June 13, 2016 - November 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DELRAY BEACH, FL

Past

June 10, 2016 - November 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DELRAY BEACH, FL

Past

October 25, 2007 - June 14, 2016

EDWARD JONES

RIA

CRD#: 250

WELLINGTON, FL

Past

September 29, 2007 - June 14, 2016

EDWARD JONES

CRD#: 250

WELLINGTON, FL

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

Connecticut
(11/23/2021)

Delaware
(5/12/2025)

Florida
(11/23/2021)

IAR

Florida
(7/10/2023)

Georgia
(11/23/2021)

New Jersey
(11/23/2021)

Ohio
(11/22/2021)

South Carolina
(1/8/2025)

Utah
(6/12/2025)

Virginia
(2/15/2023)

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: 10/13/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2007

General Securities Representative 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

Hector A. Mena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector Alberto Mena's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2007

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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