DP
Dhruba Pant
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77024
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CRD#: 7771615
DP
Professional summary
Dhruba Pant is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas.
Dhruba is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Dhruba has worked at 2 firms and has passed the Series 65 exam.
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) INFINITY 4 LLC POSITION: Managing Member NATURE: OwnerRental property Receive rent from tenant.No daily responsibilities INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2022 ADDRESS: 12243 Queenston Blvd, Suite A, Houston TX 77095, United States DESCRIPTION: Rental propertyNo daily responsibilities? 2) OLYMPUS POSITION: Clinical Quality Assurance Manager NATURE: Olympus Corporation manufactures and sells precision machineries and instruments worldwide. It operates through: Endoscopic Solutions, Therapeutic Solutions Others segments. The company offers gastrointestinal endoscopes, surgical endoscopes, and medical services. It also offers gastroenterology devices, urology products, respiratory products, energy devices, ENT products, gynecology products. Olympus Corporation was incorporated in 1919 and is headquartered in Tokyo, Japan. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 1 START DATE: 06/30/2025 ADDRESS: 3500 Corporate Parkway, Center Valley PA 18034, United States DESCRIPTION: Clinical Quality Support,Clinical Compliance Support,Clinical Training Support,Clinical Audit Support
CRS (Client Relationship Summary) - RIA
Click below to view Dhruba Pant'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: 6767 Portwest Drive Ste 120, Houston, TX 77024RIA
CRD#: 105644
HOUSTON, TX
Past
October 4, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Houston, 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.Highlighted states indicate IAR registrations
IAR
Texas(9/5/2025)
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
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