EK
Eric N. Kaleal
CETERA INVESTMENT ADVISERS LLC
MENTOR, OH 44060
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CRD#: 5734542
EK
Professional summary
Eric N Kaleal, who also goes by Eric Nunzio Kaleal, Eric Kaleal, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mentor, Ohio and CETERA WEALTH SERVICES, LLC located in Mentor, Ohio.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Nunzio Kaleal | Eric Kaleal
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) MISSION4MAUREEN POSITION: President NATURE: Volunteer President for the 501(c)3. Mission4Maureen provides financial assistance to families burdened by the staggering cost of brain cancer and brain tumor treatment. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 8941 Doral Dr, Mentor OH 44060, United States DESCRIPTION: Preside over the Board. Attend and Run board meetings. Vote on organizational items. Manage the que of applicants for funding. Recruit new active Board Members. Advocate for the organization. 2) LIGHTHOUSE ADVISERS, LLC POSITION: President NATURE: We offer Financial Services including but not limited to: Investments Retirement Planning Income Planning College Funding Small Business Non-Profit Financial Planning Insurance Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 07/30/2015 ADDRESS: 8450 Mentor Ave, Mentor OH 44060, United States DESCRIPTION: Meet with my clients as their trusted adviser. Manage the Firm's Investment Models Meet with the Firm's Advisers to help facilitate growth. Steward the organization to the future. Help create the growth plan and goals for the firm. 3) NOTARY PUBLIC POSITION: Notary Public NATURE: I notarize documents within the jurisdiction of the State of Ohio. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/16/2015 ADDRESS: 8941 Doral Dr., Mentor OH 44060, United States DESCRIPTION: I notarize documents. I will not notarize investment related documents while also acting as the FP on the account. 4) NUNZIO AND COMPANY, LLC POSITION: Member NATURE: Business Entity for Tax / Investment Purposes Only. Currently no real estate holdings, a few vehicles and watches for re-sale. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: 8941 Doral Dr, Mentor OH 44060, United States DESCRIPTION: Buy vehicles, watches, and real estate with the intent to re-sell. 5) KALEAL HOLDINGS, INC POSITION: President NATURE: Kaleal Holdings is the owner of my 33.33% interest in Lighthouse Advisers. LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2024 ADDRESS: 8941 Doral Dr., Mentor OH 44060, United States DESCRIPTION: No other duties. This entity is a holding company, the only asset is 33.33% of Lighthouse Advisers,LLC 6) LIGHTHOUSE ADVISERS, LLC POSITION: President NATURE: Lighthouse Advisers, LLC is an independent State Registered RIA in OH. We will be dissolving this RIA within 30 days of our affiliation with Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/02/2015 ADDRESS: 8450 Mentor Ave, Mentor OH 44060, United States DESCRIPTION: In this business We help clients with financial planning. Lighthouse Advisers, LLC is an OH registered investment advisory firm. We will be dissolving this RIA within 30 days of affiliating with Avantax.
CRS (Client Relationship Summary) - RIA
Click below to view Eric N Kaleal'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: 8450 Mentor Ave Suite 100, Mentor, OH 44060RIA
CRD#: 105644
MENTOR, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8450 Mentor Ave Suite 100, Mentor, OH 44060BD
CRD#: 13572
Mentor, OH
Past
July 28, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Mentor, OH
Past
July 28, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mentor, OH
Past
January 3, 2020 - July 30, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MENTOR, OH
Past
January 4, 2016 - September 10, 2025
LIGHTHOUSE ADVISERS, LLC
RIA
CRD#: 281793
MENTOR, OH
Past
January 20, 2015 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MENTOR, OH
Past
January 16, 2015 - July 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
MENTOR, OH
Past
July 9, 2012 - January 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PEPPER PIKE, OH
Past
March 19, 2012 - January 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PEPPER PIKE, OH
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
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(10/2/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mentor, OH 44060TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
