Erin A. Mccloskey

CETERA INVESTMENT ADVISERS LLC

SAN MATEO, CA

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CRD#: 6635382

Professional summary

Erin Ann Fleming Mccloskey, CFP®, who also goes by Erin Ann Fleming, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Mateo, California and CETERA FINANCIAL SPECIALISTS LLC located in San Mateo, California.

Erin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Erin has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erin Ann Fleming

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) SERENITY WEALTH PARTNERS, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, FINANCIAL PROFESSIONAL, OWNER, 25H/WEEK, SINCE 6/2019 2) ERIN AND KEVIN MCCLOSKEY, INVESTMENT RELATED, ADDRESS IS IN SAN MATEO, CA, RENTAL, PART OWNER, PAY MORTGAGE AND PROPERTY TAX BILLS, ENSURE HOME IS IN GOOD WORKING OWNER FOR TENANTS, 1H/WEEK, SINCE 06/2022. 3) MCCLOSKEY TAX PREP, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, PREPARE TAX RETURNS, 10H/WEEK, SINCE 01/2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Ann Fleming Mccloskey'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

November 17, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN MATEO, CA

Current

November 27, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAN MATEO, CA

Past

May 16, 2019 - August 24, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN MATEO, CA

Past

May 16, 2019 - August 24, 2022

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAN MATEO, CA

Past

November 2, 2018 - May 17, 2019

OSAIC WEALTH, INC.

RIA

CRD#: 23131

LAFAYETTE, CA

Past

November 2, 2018 - May 17, 2019

OSAIC WEALTH, INC.

CRD#: 23131

LAFAYETTE, CA

Past

May 24, 2018 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

LAFAYETTE, CA

Past

May 24, 2018 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

LAFAYETTE, CA

Past

August 3, 2017 - December 19, 2017

SIGNATOR INVESTORS, INC.

CRD#: 468

REDWOOD CITY, CA

Past

July 12, 2017 - December 19, 2017

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

REDWOOD CITY, CA

Past

May 12, 2016 - January 25, 2017

DRAGON FINANCIAL GROUP

RIA

CRD#: 282113

SAN MATEO, 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".

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.

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

IAR

California
(11/17/2023)

California
(11/27/2023)

Nevada
(11/27/2023)

Oregon
(11/27/2023)

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

State Security Law Exam

Series 63

Date: 8/22/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/8/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/4/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/3/2017

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Erin A. Mccloskey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Ann Fleming Mccloskey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

DRAGON FINANCIAL GROUP

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2017

Series 65

Date: 1/8/2015

Series 7TO

Date: 12/4/2023

SIE

Date: 10/1/2018

Series 6

Date: 8/3/2017

FINRA

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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