AP
Ana J. Paulino
CETERA INVESTMENT ADVISERS LLC
FORT WORTH, TX
Some features on this profile are disabled
CRD#: 6901294
AP
Professional summary
Ana Jessica Paulino, who also goes by Ana Jessica Paulino, Ana Paulino Zepeda, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Worth, Texas and CETERA WEALTH SERVICES, LLC located in Fort Worth, Texas.
Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Ana has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ana Jessica Paulino | Ana Paulino Zepeda
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)WILSHIRE CONSULTANTS INC. POSITION: Client Services Manager NATURE: I am employed at Wilshire Consultants as a licensed (7,63,66) client services manager. The primary purpose of my position is to ensure all operational functions are processed efficiently with limited errors, putting the needs of the client first and providing exceptional service every single time. This position performs a variety of operational tasks for complex securities or cash related transactions or processes that require extensive knowledge of departmental functions and systems. Duties include, but are not limited to the following: -maintaining advisors and client files -creating reports and preparing for client meetings -copying client meeting notes and filing appropriately -contacting clients and obtaining necessary information -notifying clients of any money movement -following up with A & B clients to ensure their needs are being met -assigning client classification and updating information in database/CRM -setting up new accounts -processing and reconciling transactions -processing distribution requests -creating transfer requests and monitoring that requested funds have been transferred -researching inquiries and resolving customer service issues -opening customer service logs and following up to ensure resolution and communicating outcome(s) to clients -may perform special projects as assigned -front desk support as needed INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/02/2024 ADDRESS: 101 Summit Ave., Suite 410, Fort Worth TX 76102, United States DESCRIPTION: My duties consist of talking to clients about their accounts as well as servicing the accounts. The majority of my role consists of assisting Rick with his workload to ensure client needs are met in a timely manner.
CRS (Client Relationship Summary) - RIA
Click below to view Ana Jessica Paulino'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
RIA
CRD#: 105644
FORT WORTH, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 Summit Ave. Suite 410, Fort Worth, TX 76102BD
CRD#: 13572
FORT WORTH, TX
Past
December 13, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fort Worth, TX
Past
December 13, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FORT WORTH, TX
Past
October 13, 2022 - June 17, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 4, 2022 - June 17, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Fort Worth, TX
Past
January 2, 2020 - February 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Southlake, TX
Past
January 2, 2020 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Westlake, TX
Past
August 21, 2018 - December 31, 2023
TD AMERITRADE, INC.
BD
CRD#: 7870
Westlake, TX
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
Texas(9/5/2025)
IAR
Texas(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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
