Simon E. Tuman

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

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CRD#: 6016438

Professional summary

Simon Edward Tuman, who also goes by Simon E Tuman, Simon Edward Tuman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California.

Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Simon has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Simon E Tuman | Simon Edward Tuman

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. NAME OF OTHER BUSINESS: HAZEL ST TOWNHOMES HOMEOWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: HOA START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: LESS THAN 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: HOA DUTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Edward Tuman'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

December 17, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

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

RIA

CRD#: 105644

EL SEGUNDO, CA

Past

December 17, 2024 - December 26, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 25, 2022 - October 23, 2024

COMPOSITION WEALTH, LLC

RIA

CRD#: 143483

LOS ANGELES, CA

Past

September 10, 2018 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

EL SEGUNDO, CA

Past

September 10, 2018 - November 19, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

EL SEGUNDO, CA

Past

September 10, 2018 - November 19, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

EL SEGUNDO, CA

Past

September 10, 2018 - November 19, 2021

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

EL SEGUNDO, CA

Past

September 10, 2018 - November 19, 2021

CETERA ADVISORS LLC

CRD#: 10299

EL SEGUNDO, CA

Past

May 18, 2017 - November 19, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 1, 2015 - April 7, 2017

CETERA ADVISORS LLC

CRD#: 10299

EL SEGUNDO, CA

Past

September 3, 2013 - November 18, 2014

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SEATTLE, WA

Past

February 13, 2012 - June 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SEATTLE, WA

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.

Highlighted states indicate IAR registrations

IAR

California
(12/17/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/25/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/10/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2020

General Securities Principal Examination

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

Simon E. Tuman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Edward Tuman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

COMPOSITION WEALTH, LLC

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

U.S. BANCORP INVESTMENTS, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2022

Series 63

Date: 2/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2014

Series 6

Date: 2/10/2012

Series 24

Date: 1/31/2020

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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