Rory Cogavin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rory Cogavin was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 2012. Rory had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2014 - April 15, 2021
CETERA INVESTMENT ADVISERS LLC
August 14, 2014 - April 15, 2021
CETERA FINANCIAL SPECIALISTS LLC
October 3, 2013 - August 7, 2014
CALTON & ASSOCIATES, INC.
October 2, 2013 - August 7, 2014
CALTON & ASSOCIATES, INC.
September 28, 2012 - February 1, 2013
SECURITIES AMERICA ADVISORS, INC.
September 28, 2012 - February 1, 2013
SECURITIES AMERICA, INC.
March 7, 2012 - October 10, 2012
EQUITABLE ADVISORS, LLC
January 20, 2012 - October 10, 2012
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
