AE
Alfred Escamilla
CETERA INVESTMENT ADVISERS LLC
LONG BEACH, CA 90803
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CRD#: 5747598
AE
Professional summary
Alfred Escamilla, who also goes by Alfred Raymond Escamilla, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Beach, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alfred has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alfred Raymond Escamilla
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. NAME OF OTHER BUSINESS: PINNACLE WEALTH CREATION INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: REAL ESTATE, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER, APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ADULT ASSISTED LIVING CENTER FOR 65 AND OLDER ADULTS TO HOUSE AND HELP WITH DAILY LIVING TASKS TO ENSURE SAFE AND COMFORTABLE LIVING; 2. NAME OF OTHER BUSINESS: ELDERWOOD CARE, LLC; INVESTMENT RELATED: NO; ADDRESS: 10628 JORDAN RD CITY OF INDUSTRY, CA 90603; NATURE OF BUSINESS: ASSISTED LIVING; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: OWNER/EMPLOYEE; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: SUPERVISING THE BUSINESS AND EMPLOYEES TO ENSURE THEY ARE IN COMPLIANCE AND THE BUSINESS IS RUNNING SMOOTHLY;
CRS (Client Relationship Summary) - RIA
Click below to view Alfred Escamilla'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4821 E 2nd St., Long Beach, CA 90803Office #2: 3600 Wilshire Blvd, Suite 1914, Los Angeles, CA 90010RIA
CRD#: 105644
LONG BEACH, CA
Current
April 27, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3600 Wilshire Blvd Suite 1914, Los Angeles, CA 90010BD
CRD#: 13572
Los Angeles, CA
Past
January 26, 2017 - September 19, 2022
ERMAN RETIREMENT ADVISORY
RIA
CRD#: 113903
Seal Beach, CA
Past
April 28, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LONG BEACH, CA
Past
July 21, 2015 - April 26, 2016
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
ANAHEIM, CA
Past
July 21, 2015 - April 26, 2016
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
ANAHEIM, CA
Past
March 27, 2012 - August 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ANAHEIM, CA
Past
March 27, 2012 - August 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ANAHEIM, CA
Past
April 19, 2010 - July 1, 2011
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ANAHEIM, 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(4/27/2016)
IAR
California(6/29/2023)
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.
