ER
Elizabeth A. Raines
CETERA INVESTMENT ADVISERS LLC
MORRO BAY, CA 93442
Some features on this profile are disabled
CRD#: 5533300
ER
Professional summary
Elizabeth A. Raines, who also goes by Elizabeth A Glynn, Elizabeth A. Glynn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Morro Bay, California and CETERA WEALTH SERVICES, LLC located in Morro Bay, California.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Elizabeth has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth A Glynn | Elizabeth A. Glynn
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) ROSS CARREIRO BROWN CPAS, P.C. POSITION: Administrative Assistant NATURE: I am George Ross's Administrative Assistant at his office at 895 Shasta Ave. Morro Bay, CA 93442. I am assisting with accounting, book-keeping and tax returns. This firm does tax preparation, accounting, tax planning, bookkeeping, IRS audit representation and QuickBooks advising. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 30 START DATE: 10/18/2021 ADDRESS: 895 Shasta Avenue, Morro Bay CA 93442, United States DESCRIPTION: I am assisting George Ross with his tax and accounting clients. I will be answering phones, scheduling his appointments, and filing paperwork. I will also be helping his other employees in the office with these same functions. 2)George G Ross CPA PFS CFP; Administrative Assistant; I am George Ross's�Administrative Assistant�at his office at 895 Shasta Ave. Morro Bay, CA 93442. I am assisting with accounting, book-keeping and tax returns. This firm does tax preparation, accounting, tax planning, bookkeeping, IRS audit representation and Quickbooks advising.; IR; 30; 10/18/2021; 895 Shasta Avenue Morro Bay CA 93442; I will be assisting George Ross with his clients. I will be answering phones, scheduling his appointments, and filing paperwork. I will also be helping his other employees in the office with these same functions. 3)Dubost Winery; Event Coordinator; Dubost Winery is my family's winery. I assist with events such as wine club parties and weddings. I have not helped with a job there pre-Covid (March 2020). When I do assist with a job, I help set up and take down an event, I help pour wine, talk with the guests and serve food. This is not a compensated position. Though, I do get tipped out by the wine club members or wedding guests. I do not have a schedule there and just help when our family needs it.; NIR; 0; 09/03/2012; 9988 Chimney Rock Rd Paso Robles CA 93446; My responsibilities vary based on the event. Generally it includes the set up and take down of an event, wine pouring, cash handling, food service and overall customer service.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth A. Raines'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 895 Shasta Avenue, Morro Bay, CA 93442RIA
CRD#: 105644
MORRO BAY, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 895 Shasta Avenue, Morro Bay, CA 93442BD
CRD#: 13572
Morro Bay, CA
Past
February 7, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Morro Bay, CA
Past
January 14, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Morro Bay, CA
Past
June 16, 2008 - July 24, 2009
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/14/2022
Investment Company Products/Variable Contracts 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
