Kaitlyn E. Ireland
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.
Kaitlyn Ella Ireland was a registered financial professional .
Kaitlyn is a previously registered financial professional and started their career in finance in 2012. Kaitlyn had worked at 8 firms and has passed the Series 66, Series 7TO, 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
November 18, 2019 - April 9, 2021
CETERA INVESTMENT ADVISERS LLC
November 15, 2019 - April 9, 2021
CETERA INVESTMENT SERVICES LLC
October 18, 2018 - June 14, 2019
KEY INVESTMENT SERVICES LLC
August 2, 2018 - October 12, 2018
TD AMERITRADE, INC.
August 2, 2018 - October 12, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 1, 2018 - October 12, 2018
TD AMERITRADE, INC.
January 10, 2017 - July 23, 2018
VOYA FINANCIAL ADVISORS, INC.
December 21, 2016 - July 23, 2018
VOYA FINANCIAL ADVISORS, INC.
January 20, 2015 - January 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2015 - January 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2012 - January 6, 2015
EDWARD JONES
October 11, 2012 - January 6, 2015
EDWARD JONES
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
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationCurrent 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.
