Cetera Investment Services LLC

Overview

Cetera Investment Services LLC is organized as a limited liability company and is classified in FINTRX as an independent broker-dealer. The record shows SEC registration dating to 1984 and lists owner type as a domestic entity and individual. The firm is not identified in FINTRX as a capital allocator or as a multi-state registered investment adviser; it is also not flagged as an active ESG investor, a pension consultant, or a related adviser. FINTRX does not provide detail on the firm's advisory activities or fee structure. The combination of the independent broker-dealer classification and the absence of reported advisory activity suggests the entity operates primarily as a broker-dealer platform supporting advisors and branches rather than as a discretionary asset manager.

Assets & Accounts

Location & Offices