WL
Warren S. Leibowitz
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY 10021
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CRD#: 818592
WL
Professional summary
Warren Steven Leibowitz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Warren has worked at 5 firms and has passed the Series 63, SIE and Series 6 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) Jeff Lewis & Associates~'NIR'~200 E. 74TH STREET~NEW YORK~NY~10021~Tax Preparation/Accounting~Tax Preparation/Accounting~12/1/1986~160hrs~150hrs~INCOME TAX AND PAYROLL TAX PREPARATION AND CONSULTING FOR THE PUBLIC 2) ESTATE OF EILEEN T. CRILLY POSITION: Estate Administrator NATURE: I was asked by the Attorney for the Estate of Eileen T. Crilly to be Administrator of her Estate in the U.S. She had been a tax client a number of years ago and she had moved back to her native Northern Ireland where she eventually passed away. Her Estate Attorney in the UK wanted to settle her estate in the U.S. where the bulk of her bank accounts and mutual funds were located. In order to get this accomplished the U.S. Attorney needed an administrator who was a resident of NYS and the U.S. Therefore they I was requested to do this. There is no investment function involved. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2019 ADDRESS: 200 East 74th Street, c/o Jeff Lewis & Associates, New York NY 10021, United States DESCRIPTION: I have assisted the Attorney in NYS with getting the assets the deceased had so that the beneficiaries located in the US and UK can get their shares. There is an executor located in Belfast, Northern Ireland but he can't obtain the assets located in the U.S. 3) KNIGHTS OF PYTHIAS FRATERNAL ORGANIZATION POSITION: SECRETARY OF BENEVOLENT FUND NATURE: I AM DOING VOLUNTEER DUTY FOR THE BENEVOLENT FUND WHICH PROVIDES MEMBERS AND THEIR SPOUSES A DEATH BENEFIT OF $800 FOR MEMBERS AND $400 FOR SPOUSES UPON THEIR DEATH. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2022 ADDRESS: 3520 FILLMORE AVENUE, BROOKLYN NY 11234, United States DESCRIPTION: I KEEP RECORDS OF THE DEATHS AND CHECK THE MEMBERS NAME AGAINST THE MEMBERSHIP ROSTER TO MAKE SURE THE MEMBERSHIP IS UP TO DATE. I RECEIVE THIS ROSTER FROM THE TREASURER. I THEN SEND A COPY OF THE DEATH CERTIFICATE AND LATER WHEN MONUMENT IS ERECTED, I GET PROOF OF THE MONUMENT BEING ERECTED AND WE PROVIDE THE COMPLETE BENEFIT TO THE SURVIVING MEMBER OR SPOUSE. I DO NOT HAVE ACCESS TO THE CHECK BOOK BUT DO CO-SIGN THE CHECK AS PER RULES OF THE BANK AND FUND. THAT IS ALL MY DUTIES 4) HARMONY LODGE OF KNIGHTS OF PYTHIAS POSITION: DEPUTY CHANCELLOR NATURE: SOCIAL ACTIVITIES AND CHARITABLE ACTIVITIES INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 3520 FILLMORE AVENUE, BROOKLYN NY 11234, United States DESCRIPTION: I AM A MEMBER OF THE KNIGHTS OF PYTHIAS, HARMONY LODGE WHICH IS A LOCAL LODGE CHAPTER. I WAS ELECTED AS DEPUTY CHANCELLOR WHICH IS A POSITION WHERE I ASSIST THE CHANCELLOR AND RUN THE MONTHLY MEETING WHEN THE CHANCELLOR IS NOT PRESENT.
CRS (Client Relationship Summary) - RIA
Click below to view Warren Steven Leibowitz'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: 200 East 74th Street C/o Jeff Lewis & Associates, New York, NY 10021RIA
CRD#: 105644
NEW YORK, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 East 74th Street C/o Jeff Lewis & Associates, New York, NY 10021BD
CRD#: 13572
NEW YORK, NY
Past
August 24, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NEW YORK, NY
Past
May 28, 2009 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
NEW YORK, NY
Past
July 30, 1999 - June 10, 2009
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
February 5, 1993 - October 7, 1999
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, 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
Connecticut(9/5/2025)
RR
Maine(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
Exams
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
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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.
