AL
Alex B. Levy
CETERA INVESTMENT ADVISERS LLC
SYLVANIA, OH 43560
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CRD#: 6526046
AL
Professional summary
Alex B Levy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sylvania, Ohio and CETERA WEALTH SERVICES, LLC located in Sylvania, Ohio.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alex has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2012 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP TOLEDO INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: ALEX LEVY + ASSOCIATE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SET UP FOR TAX PURPOSE; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUSINESS SET UP FOR TAX PURPOSES; 4. NAME OF OTHER BUSINESS: JEWISH FEDERATION OF GREATER TOLEDO; INVESTMENT RELATED: NO; ADDRESS: 6465 W. SYLVANIA AVE SYLVANIA, OH 43560 ; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP ORGANIZATION MAKE BEST DECISION FOR CURRENT AND FUTURE SUCCESS, HELP REVIEW ACCOUNT ANALYSIS;
CRS (Client Relationship Summary) - RIA
Click below to view Alex B Levy'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: 5800 Monroe St Building A Ste 4, Sylvania, OH 43560RIA
CRD#: 105644
SYLVANIA, OH
Current
November 20, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5800 Monroe St Building A Ste 4, Sylvania, OH 43560BD
CRD#: 13572
Sylvania, OH
Past
November 20, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 2, 2017 - December 14, 2020
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
TOLEDO, OH
Past
June 21, 2016 - December 14, 2020
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
TOLEDO, OH
Past
July 9, 2015 - May 16, 2016
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
WATERVILLE, OH
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
Arkansas(4/17/2025)
RR
California(4/14/2021)
RR
Colorado(11/20/2020)
RR
Florida(11/20/2020)
RR
Georgia(1/4/2022)
RR
Indiana(2/29/2024)
RR
Kentucky(9/29/2025)
RR
Maine(7/8/2022)
RR
Massachusetts(11/20/2020)
RR
Michigan(11/20/2020)
RR
Montana(3/6/2023)
RR
Nevada(11/20/2020)
RR
New Jersey(4/7/2021)
RR
North Carolina(2/15/2024)
RR
Ohio(11/20/2020)
IAR
Ohio(6/29/2023)
RR
Rhode Island(7/19/2022)
RR
South Carolina(11/7/2025)
RR
Texas(11/8/2021)
IAR
Texas(6/29/2023)
RR
Virginia(2/2/2023)
RR
Washington(11/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)Upgrade to AdvisorCheck Premium
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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)
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#: 105644Sylvania, OH 43560TRUST BUT VERIFY
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