Michael L. Anderson

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CRD#: 5426877

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 Lawrence Anderson was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2025 - December 31, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PETALUMA, CA

Past

September 5, 2025 - December 31, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Petaluma, CA

Past

March 31, 2014 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Petaluma, CA

Past

March 25, 2014 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

PETALUMA, CA

Past

October 19, 2010 - December 31, 2012

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SANTA ROSA, CA

Past

October 18, 2010 - December 31, 2012

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

SANTA ROSA, CA

Past

January 23, 2008 - October 19, 2010

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

SANTA ROSA, CA

Past

January 18, 2008 - October 19, 2010

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SANTA ROSA, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/19/2008

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: 1/17/2008

General Securities Representative Examination

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

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

Michael L. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/17/2008

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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