Asset manager · EL Segundo, CA
Cetera Advisory Services LLC
SEC-registered investment adviser · CRD 285648 · SEC 801-108603
At a glance
Cetera Advisory Services LLC is an SEC-registered investment adviser based in EL Segundo, California, with $0 in regulatory assets under management as of its Form ADV filed August 11, 2026. By Form ADV it is a asset manager, ranked 2,680th of 3,218 asset managers and 16,662nd of 17,210 SEC-registered advisers by assets.
Main office 310-257-7880As filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,680 of 3,218
- Rank among all SEC RIAs
- #16,662 of 17,210
- Rank in California
- #1,821 of 1,873
- Clients
- 0
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 14
- Advisory staff
- 14
- Offices
- 1
Owners and executives on its Form ADV
- Kristy M. HaleyAdvisory Chief Compliance Officer
- Jeffrey R. BuchheisterCheif Financial Officer
- Maura R. MizuguchiChief Accounting Officer
- Joseph D. NearyVice President, Manager, CEO, President
- Stanley R. SmileyVice President
- Lisa A. GokSecretary
- Allan K. ShoresTreasurer
- David J. Van HavermaatAssistant Secretary
- Winnie A. LeeAssistant Secretary
- Tamas VaysAssistant Secretary
- Serge BudevichVice President, Tax Officer
- Todd C. MackayManager
Custody and brokerage
Custodian
Cetera Advisory Services LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Cetera Advisory Services LLC is a hybrid RIA: 8 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC and Cetera Wealth Services, LLC.
- Cetera Advisors LLC ↗CRD 10299
- Cetera Financial Specialists LLC ↗CRD 10358
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- Cetera Investment Services LLC ↗CRD 15340
- Cetera Wealth Services, LLC ↗CRD 13572
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Cetera Investment Services as the broker-dealer its advisers are registered with.
ITEM 12 – BROKERAGE PRACTICES Selection of Brokers If your Advisor is also a registered representative of Cetera Investment Services LLC (CIS), Related BD of Firm, then CIS will provide brokerage and custodial services for your Account.
Disciplinary disclosures
Cetera Advisory Services LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Cetera Advisory Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 626 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 15 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Cetera Advisory Services LLC manage?
Cetera Advisory Services LLC reports $0 in regulatory assets under management, on its Form ADV filed August 11, 2026.
What kind of firm is Cetera Advisory Services LLC?
Cetera Advisory Services LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Does Cetera Advisory Services LLC have any disciplinary history?
Cetera Advisory Services LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Cetera Advisory Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →