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Eileen M Proto

CETERA INVESTMENT ADVISERS
OLEAN, NY
·CRD# 6119436·8 years experience

Professional Summary

Eileen M Proto is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olean, New York and CETERA WEALTH SERVICES, LLC located in Olean, New York. Eileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Eileen has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
115 Times Square, Olean, NY 14760
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
115 Times Square, Olean, NY 14760
October 26, 2021 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
El Segundo, CA
October 26, 2021 - June 29, 2023
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Olean, NY
August 26, 2021 - October 29, 2021
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Olean, NY
March 30, 2018 - October 29, 2021

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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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: FIXED INSURANCE INV RELATED: YES ADR: SAME AS REG LOCATION BUSINESS: FIXED INS. POSITION/TITLE/RELATIONSHIP: EMPLOYEE START DATE: 7/2020 APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: SELL LIFE INS; 2. NAME OF OTHER BUSINESS: PROTO & LOSKEY CPA LLC; INVESTMENT RELATED: NO; ADD: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START: 10/2025; TITLE: ACCOUNTANT; APX # OF HRS/WK & DUR TRAD HRS: 20; DUTIES: ASSIST W/ TAX PREP, PAYROLL & OTHER ACCOUNTING TASKS; 3. NAME: EDINBORO COUNTRY SQUARE APARTMENTS LLC INV RELATED: NO ADR: 415 WATERFORD ST, EDINBORO, PA BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION: EMPLOYEE; APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: ASSIST W/ PROP MNGT; 4. NAME: E&L HOLDINGS LLC INV RELATED: NO ADR: 115 TIMES SQUARE OLEAN, NY 14760 BUSINESS: REAL ESTATE START DATE: 12/2022 POSITION: PART OWNER APX # OF HRS/WEEK: MINIL APX # OF HRS DUR TRD HRS: MINIL DUTIES: ASSIST W/ PROP MNGT; 5. NAME: CONGRESS STREET APARTMENTS LLC INV RELATED: NO ADR: 440 CONGRESS ST, BRADFORD, PA BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION: ASSIST W/ PROP MNGT & WEBSITE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: ASSIST W/ PROP MNGT & WEBSITE; 6. NAME: ROSE APARTMENTS LLC INV RELATED: NO ADDR: 34 GLEN ST, ALFRED, NY BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION: ASSIST W/ PROP MNGT & WEBSITE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: ASSIST W/ PROP MNGT & WEBSITE; 7. NAME: PROTO FAMILY HOLDINGS LLC INV RELATED: NO ADDR: 13 N SHORE, CHILLICOTHE, OH BUSINESS: REAL ESTATE START DATE: 11/2018 POSITION: PART OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: ASSIST W/ PROP MNGT & WEBSITE; 8. NAME: YMCA ASSOC BOARD MEMBER INV RELATED: NO ADDR: 1101 WAYNE ST, OLEAN, NY BUSINESS: BOARD FIDU POS START DATE: 6/2021 POSITION: BOARD MMR APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: YMCA ASSOC BOARD MMR, ATTEND BOARD MEETI, VOL WHEN NEEDED; 9. NAME: UNITED WAY OF WNY BOARD OF DIRECTORS INV RELATED: NO ADDR: 807 W STATE ST, OLEAN, NY BUSINESS: BOARD FIDU POS START DATE: 6/2021 POSITION: SECRETARY ON THE UNITED WAY BOARD OF WNY APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: SECRETARY ON THE UNITED WAY BOARD OF WNY, TAKE MEETING NOTES, HELP FACILITATE MEETINGS, VOLUNTEER WHEN NEEDED; 10. NAME: LUIGI'S PANE & PASTA INV RELATED: NO ADDR: SAME AS REG ADDR BUSINESS: LOCAL WHOLESALE BAKERY, NO STORE FRONT, LOCATED IN THE BACK OF OUR OFFICE, TAKE BREAD TO ONE LOCAL GROCERY STORE, ACCEPT ONLINE ORDERS & SELL BREAD AT LOCAL FARMERS MARKET START DATE: 9/2019 POSITION: EMPLOYEE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: ASSIST W/ WEBSITE & BRINGING BREAD TO LOCAL FARMERS MKT; 11. NAME: PROTOS PHOTOS INV RELATED: NO ADDR: SAME AS BUSINESS ADDR BUSINESS: PHOTOGRAPHY WEBSITE START DATE: 8/2006 POSITION: OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRD HRS: 1 DUTIES: MY PHOTOGRAPHY WEBSITE, NOT A BUSINESS (LLC), I DON'T GET PAID TO TAKE PHOTOS BUT WILL TAKE PHOTOS FOR FREE FOR LOCAL CHARITIES; 12. NAME: PROTO FINANCIAL GROUP INV RELATED: YES ADDR: SAME AS BUSINESS ADDR BUSINESS: DBA FOR OUR FINANCIAL SERVICES BUSINESS START DATE: 1/2017 POSITION: EMPLOYEE APX # OF HRS/WEEK: 20 APX # OF HRS DUR TRADING HRS: 20 DUTIES: OUR DBA FOR OUR FINANCIAL PLANNING ETC; 13. PROCURRO MANAGEMENT LLC; NO; 329 FOREST GROVE ROAD CORAOPOLIS, PA 15108; RNTL PROP;12/2022; MEMBER; LESS THAN 1; LESS THAN 1; STORAGE UNIT RNTL PROP; 14. NAME OF OTHER BUSINESS: OLEAN SCHOOLS FOUNDATION BOARD; INVESTMENT RELATED: NO ADDRESS: 410 W SULLIVN OLEAN, NY 14760; NATURE OF BUSINESS: NON-PROFIT-SCHOOL ; START DATE: 9/16/2026 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SERVING ON THE BOARD;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(1/25/2022)
RR
Florida
(11/22/2021)
RR
Georgia
(1/6/2023)
RR
New York
(10/26/2021)
IAR
New York
(6/29/2023)
RR
North Carolina
(4/4/2022)
RR
Ohio
(10/26/2021)
RR
Pennsylvania
(11/22/2021)
RR
South Carolina
(5/20/2025)
RR
Tennessee
(10/28/2024)
RR
Texas
(2/8/2022)
IAR
Texas
(6/29/2023)
RR
Virginia
(10/27/2021)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2018About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2018About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Eileen M Proto's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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