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FIRM PROFILE
Overview
CETERA ADVISORS LLC is located at 5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111 and was first established at Denver, Delaware in 08/31/2012. After operating for 13 years, CETERA ADVISORS LLC has amassed assets under management in the amount of $21,989,347,265 spanning over 80,462 clients at the firm. A breakdown of these figures indicates that 73% of CETERA ADVISORS LLC’s clients are individuals and 27% of their clients are high net worth individuals. CETERA ADVISORS LLC has 1,138 total employees and of those employees, 997 can be registered with one or both FINRA and the SEC. 88% percentage at CETERA ADVISORS LLC are registered to handle securities or provide financial advice. The firm has 22 disclosures, 14 being regulatory events, 1 being client events, and 7 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CETERA ADVISORS LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CETERA ADVISORS LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CETERA ADVISORS LLC Comes From
Understanding the Statistics for CETERA ADVISORS LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
$ 21,198,180,081
71 Clients per Employee
FIRM INFORMATION
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
400 First Street South Suite 300, Saint Cloud, MN 56301
Large
(800) 929-3485
Delaware since 08/31/2012
Limited Liability Company
December
1,138
Proprietary Interest in Client Transactions
A. Do you or any related person:
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)? YES
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients? YES
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A.(1) or (2))? YES
Sales Interest in Client Transactions
B. Do you or any related person:
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions)? NO
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for which you or any related person serves as underwriter or general or managing partner? NO
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)? YES
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the:
(1) securities to be bought or sold for a client's account? YES
(2) amount of securities to be bought or sold for a client's account? YES
(3) broker or dealer to be used for a purchase or sale of securities for a client's account? NO
(4) commission rates to be paid to a broker or dealer for a client's securities transactions? NO
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons? NO
E. Do you or any related person recommend brokers or dealers to clients? YES
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons? YES
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions? NO
G. (2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934? NO
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals? YES
H. (2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm (cash or non-cash compensation in addition to the employee's regular salary)? YES
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related person) for client referrals? YES
A. (1) Do you have custody of any advisory clients':
(a) cash or bank accounts? YES
(b) securities? YES
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody:
(a) U.S. Dollar Amount $ 19,953,934,798
(b) Total Number of Clients 71,665
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients':
(a) cash or bank accounts? NO
(b) securities? NO
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your related persons have custody:
(a) U.S. Dollar Amount $ 0
(b) Total Number of Clients
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage. NO
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools. NO
(3) An independent public accountant conducts an annual surprise examination of client funds and securities. YES
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities. NO
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients?
(1) you act as a qualified custodian NO
(2) your related person(s) act as qualified custodian(s) NO
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination commenced: 2023-09
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients? 1
FIRM DOCUMENTS
Part 2 Brochures
Accountant Surprise Examination Report
| Accounting Firm Name | Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|---|
| DELOITTE & TOUCHE, LLP | 09/26/2023 |
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 02/2006 | 3004604 |
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | 12/2010 | |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 02/2013 | 2160203 |
| HALEY, KRISTY MARIE | ADVISORY CHIEF COMPLIANCE OFFICER | 11/2015 | 4022155 |
| VANNOY-PINEDA, KATHLEEN DENISE | BROKER DEALER CHIEF COMPLIANCE OFFICER | 05/2021 | 1347526 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 05/2021 | 2993505 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 05/2021 | 4709900 |
| MIZUGUCHI, MAURA RIE | CHIEF ACCOUNTING OFFICER | 05/2021 | 5769181 |
| CHAFFIN, GARY LYNN | TAX OFFICER | 05/2021 | 6819431 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 05/2021 | 2272183 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 05/2021 | 4306692 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 05/2021 | 4807911 |
| LISCHIN, MALISSA BLAKE | VICE PRESIDENT | 05/2021 | 2505496 |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 05/2021 | 2954103 |
| UMANSKY, DANIEL ADAM | VICE PRESIDENT | 05/2021 | 1806953 |
| TAYLOR, THOMAS BYRON | MANAGER | 05/2021 | 2193426 |
| GOK, LISA ANNE | SECRETARY | 05/2021 | 5059738 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 05/2021 | 7042846 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 05/2022 | 7381661 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER | 03/2023 | 7376607 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 03/2023 | 1572778 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER | 01/2024 | 1921834 |
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at CETERA ADVISORS LLC
Richard Lann Farrar
Garret Benser Norris
Lori Ann Ulm
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