EG
Eugene Ganeles
CETERA INVESTMENT ADVISERS LLC
MONTEREY, CA 93940
Some features on this profile are disabled
CRD#: 5986516
EG
Professional summary
Eugene Ganeles is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Monterey, California and CETERA WEALTH SERVICES, LLC located in Monterey, California.
Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Eugene has worked at 4 firms and has passed the Series 65, Series 63, Series 22TO, 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) Fiduciary Appointment-Trustee~'NIR'~2600 Garden Rd, Suite 111~Monterey~CA~93940~10/26/2012~1hrs~0hrs~Safeguard assets in accordance with trust documents, file tax returns, review bank activities 2) CPA Connect~'NIR'~104 N. Main St., 5th FL~Gainsville~FL~32601~Accounting~Other~1/1/2010~1hrs~0hrs~Member of CPA Connect, works with small firms on the accounting side, attend meetings, network 3) Ganeles & Associates~'NIR'~60 Garden Court, Ste. 200~Monterey~CA~93940~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/2005~160hrs~120hrs~President/Owner of CPA firm 4) Monterey Penninsula Chamber of Commerce~'NIR'~243 El Dorado St #200~Monterey~CA~93940~Other~Other~1/1/2011~1hrs~0hrs~Member of organization, attends meetings, network 5) Rotary Club of Monterey #633~'NIR'~1 Old Golf Course Road~Monterey~CA~93940~Other~Other~1/1/2008~1hrs~0hrs~Attend meetings about once a month.
CRS (Client Relationship Summary) - RIA
Click below to view Eugene Ganeles'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: 1900 Garden Road Ste 240, Monterey, CA 93940RIA
CRD#: 105644
MONTEREY, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1900 Garden Road Ste 240, Monterey, CA 93940BD
CRD#: 13572
Monterey, CA
Past
January 17, 2013 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Monterey, CA
Past
January 31, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Monterey, 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(9/5/2025)
IAR
California(9/5/2025)
RR
Hawaii(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 11/16/2020
Direct Participation Programs Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Monterey, CA 93940TRUST BUT VERIFY
Monitor Eugene Ganeles
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
