SS
Shishir Shastry
CETERA INVESTMENT ADVISERS LLC
WEST COVINA, CA 91790
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CRD#: 5472919
SS
Professional summary
Shishir Shastry, who also goes by Shawn Shastry, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Covina, California and CETERA WEALTH SERVICES, LLC located in West Covina, California.
Shishir is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Shishir has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Shastry
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: STRATEGIC FORTUNE WEALTH MANAGEMENT-INSURANCE SECURITIES AND FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE & SERVICE OF FIXED INSURANCE; 2) BUZZRX POSITION: Salesperson NATURE: Sales INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 1 East Broward Blvd, Suite 205W, Fort Lauderdale FL 33301, United States DESCRIPTION: Promote discounts in pharmacies for the benefit of various charities. Mostly on weekends or late evenings, part time work. 3) NAME OF OTHER BUSINESS: CITY FIRST MORTGAGE SERVICES, LLC; INVESTMENT RELATED: NO; ADDRESS: 750 SOUTH MAIN STREET, SUITE 104 BOUNTIFUL, UT 84010; NATURE OF BUSINESS: MORTGAGE LOANS; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: MORTGAGE LOAN ORIGINATOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MORTGAGE LOAN ORIGINATION FOR HOME PURCHASE AND REFINANCING; 4) NAME OF OTHER BUSINESS: KELLER WILLIAMS ANAHEIM HILLS YORBA LINDA;; INVESTMENT RELATED: NO; ADDRESS: 19631 YORBA LINDA BLVD SUITE A YORBA LINDA, CA 92886; NATURE OF BUSINESS: REAL ESTATE; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: PART TIME REAL ESTATE AGENT; 5) NAME OF OTHER BUSINESS: BEARSTAR INSURANCE; INVESTMENT RELATED: NO; ADDRESS: 2151 MICHELSON DR. STE. 150 IRVINE, CA 92612; NATURE OF BUSINESS: INSURANCE SALES; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROPERTY AND CASUALTY INSURANCE SALES;
CRS (Client Relationship Summary) - RIA
Click below to view Shishir Shastry's 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®
NoneExperience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Lakes Dr Ste 340, West Covina, CA 91790RIA
CRD#: 105644
WEST COVINA, CA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1000 Lakes Drive Suite 340, West Covina, CA 91790BD
CRD#: 13572
West Covina, CA
Past
September 13, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
West Covina, CA
Past
September 12, 2022 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
West Covina, CA
Past
June 26, 2019 - October 5, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
IRVINE, CA
Past
June 22, 2019 - October 5, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
IRVINE, CA
Past
January 25, 2017 - July 12, 2017
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CITY OF INDUSTRY, CA
Past
October 26, 2015 - July 12, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CITY OF INDUSTRY, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(8/10/2023)
IAR
California(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/20/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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.
