EP
Eileen M. Proto
CETERA INVESTMENT ADVISERS
OLEAN, NY 14760
Some features on this profile are disabled
CRD#: 6119436
EP
Eileen M ProtoCETERA INVESTMENT ADVISERS
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.
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. NAME: FIXED INSURANCE INV RELATED: YES ADDR: SAME AS REG LOCATION BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: EMPLOYEE START DATE: 7/2020 APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: SELL LIFE INSURANCE; 2. NAME OF OTHER BUSINESS: PROTO & LOSKEY CPA LLC; INVESTMENT RELATED: NO; ADDRESS: 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 ADDR: 415 WATERFORD ST, EDINBORO, PA BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION/TITLE/RELATIONSHIP: EMPLOYEE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: ASSIST W/ PROPERTY MANAGEMENT; 4. NAME: E&L HOLDINGS LLC INV RELATED: NO ADDR: 115 TIMES SQUARE OLEAN, NY 14760 BUSINESS: REAL ESTATE START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: PART OWNER APX # OF HRS/WEEK: MINIMAL APX # OF HRS DUR TRADING HRS: MINIMAL DUTIES: ASSIST W/ PROPERTY MANAGEMENT; 5. NAME: CONGRESS STREET APARTMENTS LLC INV RELATED: NO ADDR: 440 CONGRESS ST, BRADFORD, PA BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION/TITLE/RELATIONSHIP: ASSIST W/ PROPERTY MANAGEMENT & WEBSITE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: ASSIST W/ PROPERTY MANAGEMENT & WEBSITE; 6. NAME: ROSE APARTMENTS LLC INV RELATED: NO ADDR: 34 GLEN ST, ALFRED, NY BUSINESS: REAL ESTATE START DATE: 6/2017 POSITION/TITLE/RELATIONSHIP: ASSIST W/ PROPERTY MANAGEMENT & WEBSITE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: ASSIST W/ PROPERTY MANAGEMENT & WEBSITE; 7. NAME: PROTO FAMILY HOLDINGS LLC INV RELATED: NO ADDR: 13 N SHORE, CHILLICOTHE, OH BUSINESS: REAL ESTATE START DATE: 11/2018 POSITION/TITLE/RELATIONSHIP: PART OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: ASSIST W/ PROPERTY MANAGEMENT & WEBSITE; 8. NAME: YMCA ASSOC BOARD MEMBER INV RELATED: NO ADDR: 1101 WAYNE ST, OLEAN, NY BUSINESS: BOARD FIDUCIARY POSITION START DATE: 6/2021 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: YMCA ASSOC BOARD MEMBER, ATTEND BOARD MEETINGS, VOLUNTEER WHEN NEEDED; 9. NAME: UNITED WAY OF WNY BOARD OF DIRECTORS INV RELATED: NO ADDR: 807 W STATE ST, OLEAN, NY BUSINESS: BOARD FIDUCIARY POSITION START DATE: 6/2021 POSITION/TITLE/RELATIONSHIP: SECRETARY ON THE UNITED WAY BOARD OF WNY APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING 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/TITLE/RELATIONSHIP: EMPLOYEE APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING HRS: 1 DUTIES: ASSIST W/ WEBSITE & BRINGING BREAD TO LOCAL FARMERS MARKET; 11. NAME: PROTOS PHOTOS INV RELATED: NO ADDR: SAME AS BUSINESS ADDR BUSINESS: PHOTOGRAPHY WEBSITE START DATE: 8/2006 POSITION/TITLE/RELATIONSHIP: OWNER APX # OF HRS/WEEK: 1 APX # OF HRS DUR TRADING 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/TITLE/RELATIONSHIP: 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; RENTAL PROPERTY;12/2022;MEMBER;LESS THAN 1;LESS THAN 1;STORAGE UNIT RENTAL PROPERTY; 14. LDL HOLDING LLC;NO;SAME AS REGISTERED LOCATION; RENTAL PROPERTY; 12/2022; CO-OWNER;<1;PAY BILLS AND COLLECT RENT;
CRS (Client Relationship Summary) - RIA
Click below to view Eileen M Proto'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 115 Times Square, Olean, NY 14760RIA
CRD#: 105644
OLEAN, NY
Current
October 26, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 115 Times Square, Olean, NY 14760BD
CRD#: 13572
OLEAN, NY
Past
October 26, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 26, 2021 - October 29, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Olean, NY
Past
March 30, 2018 - October 29, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Olean, NY
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(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)
Exams
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)Loading...
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 |
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.
