CC
Caprice Collins
CETERA INVESTMENT ADVISERS LLC
INGLEWOOD, CA 90305-2322
Some features on this profile are disabled
CRD#: 5612457
CC
Professional summary
Caprice Collins is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Inglewood, California and CETERA WEALTH SERVICES, LLC located in Inglewood, California.
Caprice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Caprice has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) TRUSTEE FOR Y.B.C LIVING TRUST POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2008 ADDRESS: , Inglewood CA 90305, United States DESCRIPTION: MAINTAIN AND MANAGE RENTAL PROPERTY: COLLECT RENTS, ETC. 2) CAPRICE L COLLINS, REAL ESTATE BROKER POSITION: LICENSED REAL ESTATE BROKER NATURE: REAL ESTATE BROKER INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: , Inglewood CA 90305, United States DESCRIPTION: I AM A LICENSED REAL ESTATE BROKER IN THE STATE OF CALIFORNIA. IN 2005-06 BEFORE I BECAME AFFILIATED WITH 1ST GLOBAL, I OCCASIONALLY WORKED WITH WELLS FARGO IN COUNSELING HOME OWNERS IN REVERSE MORTGAGE TRANSACTIONS. IT WAS NECESSARY FOR ME TO HAVE A REAL ESTATE LICENSE. SINCE 2006, I HAVE NOT BEEN ACTIVELY USED MY LICENSE. THEREFORE, THERE WAS NO NEED TO DISCLOSE IT TO 1STGLOBAL. 3) COLLINS FINANCIAL GROUP POSITION: OWNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2008 ADDRESS: Inglewood CA , United States DESCRIPTION: Provides financial services for clients. 4) COLLINS LAW GROUP POSITION: ATTORNEY NATURE: Law firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2002 DESCRIPTION: Attorney 5) 3330 WEST MANCHESTER ASSOCIATES LLC POSITION: Member NATURE: Limited Liability Company to hold ownership of property located at 3330 West Manchester Blvd. Inglewood CA 90305-office building owned and occupied by Caprice L. Collins as professional offices INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2020 ADDRESS: 3330 W. Manchester Blvd`, 3330 W Manchester Blvd, Inglewood CA 90305, United States DESCRIPTION: Duties and responsibilities required as member of CA LLC. 6) JASON C. JENKINS LIVING TRUST POSITION: Trustee NATURE: Ownership of real property located at 7022 4th Avenue, Los Angeles, CA 90043 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/26/2022 ADDRESS: 3330 W Manchester Blvd, Inglewood CA 903052322, United States DESCRIPTION: Management of real property located above.
CRS (Client Relationship Summary) - RIA
Click below to view Caprice Collins'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: 3330 W. Manchester Blvd, Inglewood, CA 90305-2322RIA
CRD#: 105644
INGLEWOOD, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3330 W. Manchester Blvd., Inglewood, CA 90305-2322BD
CRD#: 13572
INGLEWOOD, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
INGLEWOOD, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
INGLEWOOD, CA
Past
May 27, 2009 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
INGLEWOOD, CA
Past
April 21, 2009 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
INGLEWOOD, 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(9/5/2025)
IAR
California(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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
