Gregory E. Cater
Professional summary
Gregory Edward Cater SR, who also goes by Greg Cater, Gregory Edward Cater, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Magnolia, Texas and CETERA ADVISORS LLC located in Magnolia, Texas.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Gregory has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 15, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Edward Cater SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 32731 Egypt Lane Ste 202, Magnolia, TX 77354September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 6411 Ranch Park Dr, Magnolia, TX 77354April 5, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
September 28, 2000 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 7, 1999 - October 26, 2000
D.E. FREY & COMPANY, INC.
February 13, 1990 - June 18, 1999
GMS GROUP
January 16, 1989 - February 27, 1990
UBS FINANCIAL SERVICES INC.
November 1, 1979 - January 30, 1989
MORGAN STANLEY DW 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
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/6/2023)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 10/22/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 12/16/1983
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Magnolia, TX 77354TRUST BUT VERIFY
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