HE
Hoss Esmaeili
CETERA INVESTMENT ADVISERS LLC
RALEIGH, NC
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CRD#: 5581440
HE
Professional summary
Hoss Esmaeili, who also goes by Hossien Esmaeili, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Raleigh, North Carolina and CETERA WEALTH SERVICES, LLC located in Raleigh, North Carolina.
Hoss is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Hoss has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hossien Esmaeili
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) CLEVER FINANCIAL SERVICES INC, LLC DBA CLEVER FINANCIAL POSITION: President NATURE: I offer investment planning, retirement planning, estate planning, financial planning and tax planning services through this entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/20/2020 ADDRESS: 2104 Channel Branch Dr, Raleigh NC 27614; DESCRIPTION: I meet (face-to-face or Zoom) with all clients quarterly to conduct review of last quarter's/YTD performance. Update financial information. Present suitable investment options and review/update allocation and strategies. 2) CLEVER FINANCIAL LLC DBA CLEVER FINANCIAL POSITION: CEO NATURE: I offer investment planning, retirement planning, estate planning, financial planning and tax planning services through this entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/20/2020 ADDRESS: 701 Mutual Ct, Suite 200, Raleigh NC 27615 DESCRIPTION: I meet (face-to-face or Zoom) with all clients quarterly to conduct review of last quarter's/YTD performance compared to benchmark. Update financial information (such as Cash & Assets Held Away balances for any accounts not linked to E-Money)Review systematic contribution/withdrawal plans. We perform regular and on-demand account maintenance, such as contact info & beneficiary updates. Present suitable investment options and review/update allocation and strategies. 3) DAVID-HOSS LLC POSITION: Member NATURE: I purchased a commercial real estate building located at 701 Mutual Ct, Raleigh, NC 27615 jointly w/ Douglas & Patricia David who own Douglas Carroll Salon on 12/18/2023. We established David-Hoss LLC solely for the purchase of this building and will maintain it for operating expenses associated with common areas. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 701 Mutual Ct, Suite 200, Raleigh NC 27615 DESCRIPTION: established and maintain an operating account in the name of David-Hoss LLC with Benchmark Community Bank which financed our purchase. This account is used to pay the mortgage and common area expenses
CRS (Client Relationship Summary) - RIA
Click below to view Hoss Esmaeili'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
RIA
CRD#: 105644
RALEIGH, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RALEIGH, NC
Past
November 17, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Raleigh, NC
Past
November 17, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Raleigh, NC
Past
April 23, 2021 - November 24, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Raleigh, NC
Past
April 23, 2021 - November 24, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Raleigh, NC
Past
December 19, 2019 - April 26, 2021
OSAIC FS, INC.
RIA
CRD#: 3870
RALEIGH, NC
Past
December 19, 2019 - April 26, 2021
OSAIC FS, INC.
BD
CRD#: 3870
RALEIGH, NC
Past
November 2, 2017 - January 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CARY, NC
Past
November 2, 2017 - January 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CARY, NC
Past
November 2, 2012 - November 6, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
FAYETTEVILLE, NC
Past
November 2, 2012 - November 6, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
FAYETTEVILLE, NC
Past
November 7, 2008 - September 13, 2012
EDWARD JONES
RIA
CRD#: 250
RALEIGH, NC
Past
October 3, 2008 - September 13, 2012
EDWARD JONES
BD
CRD#: 250
RALEIGH, NC
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)
RR
Connecticut(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Missouri(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
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.
