Cetera Investment Management LLC
Registered investment adviser · Schamburg, IL · CRD #165436
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
25
Disclosure events
0
Firm details
- Website: https://www.cetera.com/cetera_investment_management
- Telephone: 310-257-7880
- SEC file number: 801-77403
- Most recent Form ADV filing: 2026-08-11
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 25 |
| Employees performing investment advisory functions (including research) | 9 |
| Employees who are registered representatives of a broker-dealer | 18 |
| Employees registered as investment adviser representatives with a state | 25 |
| Employees registered as IARs for another investment adviser | 10 |
| Employees who are licensed insurance agents | 1 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |