# CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT ADVISERS LLC of SCHAUMBURG, IL is an SEC-registered investment adviser.

## Registration

- CRD: 105644
- Type: SEC-registered investment adviser
- SEC file number: 801-20406
- Location: 1450 AMERICAN LANE, 6TH FLOOR, SUITE 650, SCHAUMBURG, IL, 60173-2096
- Phone: 310-257-7880
- Latest filing: 2026-06-08
- Regulatory AUM: $256.8B
- Discretionary AUM: $209.1B
- Non-discretionary AUM: $47.7B
- Clients: 10,251
- Accounts: 813,961

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (83)

_Showing 25 of 83 people._

| Name | Role | Location |
| --- | --- | --- |
| Kristy Marie Haley | CHIEF COMPLIANCE OFFICER, ADVISORY | — |
| Jeffrey Robert Buchheister | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, MANAGER | — |
| Maura Rie Mizuguchi | CHIEF ACCOUNTING OFFICER | — |
| Thomas Andrew Gooley | MANAGER | — |
| Joseph Daniel Neary | VP, MANAGER, CEO AND PRESIDENT | — |
| Stanley Robert Smiley | VICE PRESIDENT | — |
| Lisa Anne Gok | SECRETARY; SECRETARY, MANAGER | — |
| Allan Keith Shores | TREASURER | — |
| David James Van Havermaat | ASST. SECRETARY | — |
| Winnie Ai-Ling Lee | ASSISTANT SECRETARY | — |
| Tamas Vays | SECRETARY | — |
| Serge Budevich | VICE PRESIDENT, TAX OFFICER | — |
| Todd Christopher Mackay | MANAGER | — |
| Andrew David Watts | VICE PRESIDENT | — |
| Matthew Neil Kalani Fries | VICE PRESIDENT | — |
| Thomas Gooley | MANAGER | — |
| Michael James Molnar | VICE PRESIDENT | — |
| Leann Renee Rummel | VICE PRESIDENT | — |
| Ronald George Krueger | VICE PRESIDENT | — |
| William Thomas Holloran | VICE PRESIDENT | — |
| Scott M Kirwin | ASSISTANT SECRETARY | — |
| Gary Lynn Chaffin | TAX OFFICER | — |
| Kimberley Holweger | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | — |
| Jeremy Scott Carr | SECRETARY | — |
| GOK LISA ANNE | ASSISTANT SECRETARY; SECRETARY | — |


## Disclosures (466)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-09-27 | regulatory | IN MID-SEPTEMBER 2024, CETERA SUBMITTED A SETTLEMENT OFFER TO THE SECURITIES AND EXCHANGE COMMISSION ("SEC"), WHICH THE SEC ACCEPTED AND RESULTED IN CETERA CONSENTING TO AN ADMINISTRATIVE ORDER DATED SEPTEMBER 27, 2024 (THE "ORDER"). CETERA DID NOT ADMIT TO OR DENY THE FINDINGS IN THE ORDER, WHICH A… | Final | $200K |
| 2021-08-30 | regulatory | CETERA INVESTMENT SERVICES, INC IS CENSURED, ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 30(A) OF REGULATION S-P; AND SHALL PAY A CIVIL MONEY PENALTY JOINTLY AND SEVERALLY IN THE AMOUNT OF $300,000 TO THE COMMISSION. | Final | $300K |
| 2021-08-30 | regulatory | CETERA FINANCIAL SPECIALIST, LLC IS CENSURED, ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 30(A) OF REGULATION S-P; AND SHALL PAY A CIVIL MONEY PENALTY JOINTLY AND SEVERALLY IN THE AMOUNT OF $300,000 TO THE COMMISSION. | Final | $300K |
| 2019-10-11 | civil | THE SEC ALLEGES THAT THE FIRM VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940, 15 U.S.C. §§ 80B-6(2) AND 80B-6(4), AND RULE 206(4)-7 PROMULGATED THEREUNDER, 17 C.F.R. § 275.206(4)-7. | Final | $1.0M |
| 2019-10-11 | civil | THE SEC ALLEGES THAT THE FIRM VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940, 15 U.S.C. ?? 80B-6(2) AND 80B-6(4), AND RULE 206(4)-7 PROMULGATED THEREUNDER, 17 C.F.R. ? 275.206(4)-7. | Final | $1.0M |
| 2019-09-26 | regulatory | ALLEGES THAT CETERA VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-3 THEREUNDER BY PAYING CASH FEES TO BANKS FOR SOLICITATION ACTIVITIES AND WITHOUT PROVIDING CERTAIN REQUIRED DISCLOSURES. | Final | $185K |
| 2019-04-04 | regulatory | EXAMINATION FOUND THAT CETERA HAD A DESIGNATED SUPERVISOR FOR A BRANCH OFFICE IN ARKANSAS WHO WAS NOT REGISTERED WITH THEDEPARTMENT. | Final | $50K |
| 2018-04-05 | regulatory | PENDING | Pending | — |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105644/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105644/similar
- Related entities: https://search.stillhousedata.com/firm/105644/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105644

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.