EM
Edward E. Mofrad
CETERA INVESTMENT ADVISERS LLC
LOS ANGELES, CA 90017
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CRD#: 6620988
EM
Professional summary
Edward Eugene Mofrad, who also goes by Edward Mofrad, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Monterey Park, California.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Edward has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edward Mofrad
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) Mofrad Financial Solutions~'NIR'~3255 Wilshire Blvd, Ste 1600~Los Angeles~CA~90010~Tax Preparation/Accounting~Owner/Sole Proprietor~4/1/1996~160hrs~120hrs~Accounting, Bookkeeping, Tax Preparation and payroll| 2) INTUIT INC. POSITION: Tax Expert NATURE: A remote position so I never need to leave my office. While on shift, calls from Intuit/TurboTax customers who have questions regarding their taxes are forwarded to me so I can guide them online. Strictly a tax position, has nothing to do with securities. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 02/07/2025 ADDRESS: 2700 Coast Avenue, Mountain View CA 94043, United States DESCRIPTION: When Intuit/TurboTax clients call with questions, I will use my tax background/knowledge to respond to their tax-related questions. Intuit provides plenty of research resources for instances where I may not readily know an answer. The scope of the job is only to help taxpayers prepare/file their tax returns in my capacity as a CPA. No involvement with securities/financial advisement.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Eugene Mofrad'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: 801 S. Figueroa St. Suite 1120, Los Angeles, CA 90017RIA
CRD#: 105644
LOS ANGELES, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1111 Corporate Center Dr Ste 305, Monterey Park, CA 91754BD
CRD#: 13572
Monterey Park, CA
Past
January 17, 2018 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Los Angeles, CA
Past
November 21, 2016 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Monterey Park, 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
Colorado(9/5/2025)
Exams
State Security Law Exam
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)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.
