KC
Kaleb N. Cervantes
ALERA INVESTMENT ADVISORS
Tacoma, WA 98402
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CRD#: 7334495
KC
Professional summary
Kaleb Neil Cervantes is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Tacoma, Washington and OSAIC WEALTH, INC. located in Tacoma, Washington.
Kaleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Kaleb has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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)Alera Group;investment related;Three Parkway North,Deerfield,IL;corporation and parent company;retirement plan operations manager;11/2020;160 hrs/month;130 hrs during trading;day to day contact with retirement plan clients and their employees,questions about individual accounts-contribution limits,withdrawals,setting up their login online,scheduling plan reviews and benchmarking meetings with plan sponsors 2)Wilson Albers & Company,LLC;investment related;1201 Pacific Ave,Ste 2025,Tacoma,WA 98402;corporate affiliate of Alera Group,dba;retirement plan operations manager;11/30/2020;160 hrs/month;130 hrs during trading;day to day contact with their retirement plan clients and their employees,questions about individual accounts-contribution limits,withdrawals,setting up their login online,scheduling plan reviews and benchmarking meetins with plan sponsors
CRS (Client Relationship Summary) - RIA
Click below to view Kaleb Neil Cervantes'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 17, 2024 - Present
ALERA INVESTMENT ADVISORS, LLC
Office #1: 1201 Pacific Avenue Suite 600, Tacoma, WA 98402RIA
CRD#: 287906
Tacoma, WA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1201 Pacific Ave Suite 2025, Tacoma, WA 98402RIA
BD
CRD#: 23131
Tacoma, WA
Past
December 5, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Tacoma, WA
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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 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
IAR
Washington(6/17/2024)
RR
Washington(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
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Company Information
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906Tacoma, WA 98402TRUST BUT VERIFY
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