GP
Gregory J. Pennini
CETERA INVESTMENT ADVISERS LLC
Westford, MA 01886
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CRD#: 5627941
GP
Professional summary
Gregory Joseph Pennini is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westford, Massachusetts and CETERA ADVISORS LLC located in Westford, Massachusetts.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Gregory has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Joseph Pennini'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
November 23, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 234 Littleton Road Suite 2a, Westford, MA 01886RIA
CRD#: 105644
Westford, MA
Current
November 17, 2025 - Present
CETERA ADVISORS LLC
Office #1: 234 Littleton Road, Suite 2a, Westford, MA 01886BD
CRD#: 10299
Westford, MA
Past
October 23, 2018 - November 24, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTFORD, MA
Past
August 20, 2015 - November 1, 2018
CARRTHAXTON FINANCIAL GROUP
RIA
CRD#: 174135
LEXINGTON, MA
Past
January 15, 2013 - September 7, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTFORD, MA
Past
May 8, 2012 - November 24, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTFORD, MA
Past
January 28, 2009 - April 16, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
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
Alaska(11/17/2025)
RR
Arizona(11/17/2025)
RR
Arkansas(11/17/2025)
RR
California(11/17/2025)
RR
Colorado(11/17/2025)
RR
Connecticut(11/17/2025)
RR
District of Columbia(11/17/2025)
RR
Florida(11/17/2025)
RR
Georgia(11/17/2025)
RR
Idaho(11/17/2025)
RR
Illinois(11/17/2025)
RR
Louisiana(11/17/2025)
RR
Maine(11/17/2025)
RR
Maryland(11/17/2025)
RR
Massachusetts(11/17/2025)
IAR
Massachusetts(11/26/2025)
RR
Michigan(11/17/2025)
RR
Missouri(11/17/2025)
RR
Montana(11/17/2025)
RR
New Hampshire(11/17/2025)
RR
New Jersey(11/17/2025)
RR
New Mexico(11/17/2025)
RR
New York(11/17/2025)
RR
North Carolina(11/25/2025)
RR
Ohio(11/17/2025)
RR
Oregon(11/17/2025)
RR
Pennsylvania(11/17/2025)
RR
Rhode Island(11/17/2025)
RR
South Carolina(11/17/2025)
RR
Texas(11/17/2025)
IAR
Texas(11/23/2025)
RR
Vermont(11/17/2025)
RR
Virginia(11/17/2025)
RR
Washington(11/24/2025)
RR
Wisconsin(11/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 |
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#: 105644Westford, MA 01886TRUST BUT VERIFY
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