Rosemary T. Segura-dethomas
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.
Rosemary Teresa Segura-dethomas, who also goes by Rose Segura, Rosemary Teresa Segura, Rosemary Teresa Seguradethomas, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1979. Rosemary had worked at 5 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7 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
June 29, 2023 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
January 10, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
April 5, 2002 - December 31, 2024
CETERA WEALTH SERVICES, LLC
September 7, 1995 - April 2, 2002
MML INVESTORS SERVICES, LLC
March 8, 1993 - January 30, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 8, 1993 - January 30, 1995
SIGNATOR INVESTORS, INC.
November 14, 1990 - May 4, 1992
MML INVESTORS SERVICES, LLC
May 16, 1979 - November 24, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 16, 1979 - November 24, 1990
SIGNATOR INVESTORS, INC.
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 5/10/1979
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.
