Mingmar Sherpa

CETERA INVESTMENT ADVISERS LLC

HIGHLANDS RANCH, CO

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CRD#: 5768379

Professional summary

Mingmar Sherpa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Highlands Ranch, Colorado and CETERA ADVISORS LLC located in El Segundo, California.

Mingmar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mingmar has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, 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.

N/A, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL LOCATION, DIY CRAFTS, STARTED 11/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX 2HOURS PER WEEK, BRIEF DESCRIPTION OF DUTIES: DIY CRAFTS CREATED AND SOLD

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mingmar Sherpa's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HIGHLANDS RANCH, CO

Current

August 9, 2017 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Current

January 19, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

January 19, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

January 19, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Past

January 19, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 8, 2020 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

August 10, 2017 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

October 24, 2014 - June 30, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

July 14, 2014 - July 3, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

May 14, 2014 - May 30, 2014

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

July 30, 2012 - May 12, 2014

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

March 29, 2011 - August 16, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

April 9, 2010 - March 15, 2011

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

LITTLETON, CO

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(8/9/2017)

Colorado
(8/10/2017)

IAR

Colorado
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/14/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Mingmar Sherpa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mingmar Sherpa's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA ADVISORS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

EMPOWER FINANCIAL SERVICES, INC.

TRANSAMERICA CAPITAL, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2014

Series 63

Date: 4/14/2010

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/14/2014

Series 6

Date: 4/8/2010

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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