RJ
Rishabh Jain
CETERA INVESTMENT ADVISERS LLC
GURUGRAM, 122015
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CRD#: 6903440
RJ
Professional summary
Rishabh Jain, who also goes by Rishabh Jain, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC and CETERA FINANCIAL SPECIALISTS LLC .
Rishabh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Rishabh has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rishabh Jain
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Rishabh Jain'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: Plit #22a Udyog Vihar, Gurugram 122015Office #3: 2301 Rosecrans Ave Investment Solutions Group, El Segundo, CA 90245RIA
CRD#: 105644
GURUGRAM,
Current
April 3, 2018 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: Plot #22a Udyog Vihar, Gurugram 122015BD
CRD#: 10358
Gurugram,
Current
November 26, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
November 26, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
November 26, 2018 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
April 27, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 26, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
November 26, 2018 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, 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
Alabama(10/18/2024)
RR
Alaska(10/18/2024)
RR
Arizona(10/18/2024)
RR
Arkansas(10/18/2024)
RR
California(4/27/2021)
IAR
California(6/29/2023)
RR
Colorado(10/18/2024)
RR
Connecticut(10/18/2024)
RR
Delaware(10/18/2024)
RR
District of Columbia(10/18/2024)
RR
Florida(10/18/2024)
RR
Georgia(10/18/2024)
RR
Hawaii(10/18/2024)
RR
Idaho(10/18/2024)
RR
Illinois(10/18/2024)
RR
Indiana(10/18/2024)
RR
Iowa(10/18/2024)
RR
Kansas(10/18/2024)
RR
Kentucky(10/18/2024)
RR
Louisiana(10/18/2024)
RR
Maine(10/18/2024)
RR
Maryland(10/18/2024)
RR
Massachusetts(10/18/2024)
RR
Michigan(10/18/2024)
RR
Minnesota(10/18/2024)
RR
Mississippi(10/18/2024)
RR
Missouri(10/18/2024)
RR
Montana(10/18/2024)
RR
Nebraska(10/18/2024)
RR
Nevada(10/18/2024)
RR
New Hampshire(10/18/2024)
RR
New Jersey(10/18/2024)
RR
New Mexico(10/18/2024)
RR
New York(10/18/2024)
RR
North Carolina(12/17/2024)
RR
North Dakota(10/18/2024)
RR
Ohio(10/20/2024)
RR
Oklahoma(10/18/2024)
RR
Oregon(10/18/2024)
RR
Pennsylvania(10/18/2024)
RR
Rhode Island(10/18/2024)
RR
South Carolina(10/18/2024)
RR
South Dakota(10/18/2024)
RR
Tennessee(10/18/2024)
RR
Texas(10/18/2024)
IAR
Texas(12/3/2024)
RR
Utah(10/18/2024)
RR
Vermont(10/18/2024)
RR
Virginia(10/18/2024)
RR
Washington(10/18/2024)
RR
West Virginia(10/18/2024)
RR
Wisconsin(10/18/2024)
RR
Wyoming(10/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
