Alan D. Longstaff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Davison Longstaff was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1976. Alan had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2004 - December 14, 2011
CETERA INVESTMENT ADVISERS LLC
September 4, 2002 - December 28, 2015
CETERA FINANCIAL SPECIALISTS LLC
February 5, 1997 - September 10, 2002
AVANTAX INVESTMENT SERVICES, INC.
December 21, 1994 - August 16, 1996
MML INVESTORS SERVICES, LLC
December 10, 1993 - February 1, 1994
PRUCO SECURITIES, LLC.
December 20, 1982 - November 16, 1990
MML INVESTORS SERVICES, LLC
February 18, 1982 - November 18, 1983
PRUCO SECURITIES, LLC.
September 20, 1981 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
January 27, 1976 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/19/1976
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
