MM
Michael S. Mistretta
CETERA INVESTMENT ADVISERS LLC
SACRAMENTO, CA 95864
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CRD#: 5482267
MM
Professional summary
Michael Steven Mistretta, who also goes by Michael Mistretta, Mike Mistretta, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sacramento, California and CETERA FINANCIAL SPECIALISTS LLC located in Sacramento, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Mistretta | Mike Mistretta
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) SALES OF FIXED ANNUITIES, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SINCE 03/2008, 5H/WEEK. 2) NAME OF OTHER BUSINESS: MISTRETTA MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS CONSULTING AND PROPERTY MANAGEMENT; START DATE: 6/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CONDUCT GENERAL BUSINESS CONSULTING AND PROPERTY MANAGEMENT; 3) NAME OF OTHER BUSINESS: MMRS ACCOUNTANCY CORPORATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CPA FIRM; START DATE: 2/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT/CPA; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX SERVICES; 4) NAME OF OTHER BUSINESS: MISTRETTA ASSOCIATES FINANCIAL INVESTMENT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2/2024; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Steven Mistretta'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
June 8, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 460 Drake Circle, Sacramento, CA 95864RIA
CRD#: 105644
SACRAMENTO, CA
Current
June 7, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 460 Drake Circle, Sacramento, CA 95864BD
CRD#: 10358
Sacramento, CA
Past
December 8, 2011 - June 19, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Sacramento, CA
Past
December 7, 2011 - June 19, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Sacramento, CA
Past
August 5, 2010 - December 14, 2011
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SACRAMENTO, CA
Past
March 9, 2009 - December 14, 2011
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SACRAMENTO, 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
Alabama(7/6/2023)
RR
Arizona(6/16/2023)
RR
California(6/7/2023)
IAR
California(6/8/2023)
RR
Colorado(7/6/2023)
RR
Florida(6/8/2023)
RR
Hawaii(6/26/2023)
RR
Idaho(6/8/2023)
RR
Illinois(7/10/2023)
RR
Iowa(6/8/2023)
RR
Nevada(7/11/2023)
RR
North Carolina(6/28/2023)
RR
Oregon(6/8/2023)
RR
Texas(6/8/2023)
IAR
Texas(6/8/2023)
RR
Washington(6/20/2023)
Exams
State Security Law Exam
General 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sacramento, CA 95864TRUST BUT VERIFY
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