AL
Amy L. Lacavera
CETERA INVESTMENT ADVISERS LLC
BATH, ME 04530
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CRD#: 5872581
AL
Professional summary
Amy Leigh Lacavera is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bath, Maine and CETERA WEALTH SERVICES, LLC located in Bath, Maine.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Amy has worked at 4 firms and has passed the Series 65, Series 63, SIE 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.
1) Maine Association of Professional Accountants~'NIR'~744 Roosevelt Trail, Suite 207~Windham~ME~04062~Board Position/Officer~Other~6/11/2018~5hrs~3hrs~I will be assisting in the seminars and conferences we have to provide CE credits to our members. I will be involved in an IRS Liaison group as well. 2) Bible Baptist Church~'NIR'~143 Beechnut Hill Road~Wiscasset~ME~04578~Accounting Services/Tax Preparation~Other~9/26/2018~5hrs~0hrs~My job is to maintain the books and pay bills for the church. 3) Tax Wise Financial Services, LLC~'NIR'~3 Old Brunswick Road~Bath~ME~04530~Accounting Services/Tax Preparation~Owner~1/1/2020~160hrs~130hrs~I have recently purchased the practice I have been working in for 19 years. I am the owner. I will be preforming all duties with running the practice as well as tax preparation as an Enrolled Agent. 4) JAL93,LLC; Partner: JAL93, LLC is a partnership with my husband. We started the partnership because we purchased the office building for my business was leasing. INVESTMENT RELATED: No; 8; 8; Started 09/01/2021; 3 Old Brunswick Road, Bath ME 04530, US; Paying partnership monthly bills and keeping the books for the partnership. 5) FIXED INDEX ANNUITY SALES POSITION: Insurance Agent for Fixed and Variable Annuities NATURE: Proved Fixed and Variable Annuities to my clients. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2016 ADDRESS: 3 Old Brunswick Road, Bath ME 04530, United States DESCRIPTION: I will be the advisor for any fixed and variable annuities for my clients.
CRS (Client Relationship Summary) - RIA
Click below to view Amy Leigh Lacavera'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: 3 Olds Brunswick Road, Bath, ME 04530RIA
CRD#: 105644
BATH, ME
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3 Old Brunswick Road, Bath, ME 04530BD
CRD#: 13572
BATH, ME
Past
January 26, 2016 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
BATH, ME
Past
January 10, 2013 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BATH, ME
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
Florida(9/5/2025)
RR
Maine(9/5/2025)
IAR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/10/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(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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Check for any disclosures as part of your thorough research when choosing an advisor.
