SourcingSourcing

CETERA ADVISORY SERVICES LLC

C29
CRD 285648·SEC 801-108603·EL SEGUNDO, CA
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CETERA ADVISORY SERVICES LLC
CRD
285648
SEC file #
801-108603
EIN
—
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
—

Operations

Employees (total)
14
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
1 advisors → 14 advisors▲ +1300%
Primary office
EL SEGUNDO CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
04/01/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CETERA FINANCIAL GROUP, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
13
Control Persons
CETERA FINANCIAL GROUP, INC.
BUCHHEISTER, JEFFREY, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (12)

12
BUCHHEISTER, JEFFREY, ROBERT
Executive Officer · 2.5%
4709900
HALEY, KRISTY, MARIE
Executive Officer · 2.5%
4022155
NEARY, JOSEPH, DANIEL
Executive Officer · 2.5%
2993505
Budevich, Serge
Executive Officer · 2.5%
7996345
GOK, LISA, ANNE
Executive Officer · 2.5%
5059738
LEE, WINNIE, AI-LING
Executive Officer · 2.5%
7381661
Mackay, Todd, Christopher
Executive Officer · 2.5%
2799860
Mizuguchi, Maura, Rie
Executive Officer · 2.5%
5769181
SHORES, ALLAN, KEITH
Executive Officer · 2.5%
5198775
SMILEY, STANLEY, ROBERT
Executive Officer · 2.5%
3004604
Van Havermaat, David, James
Executive Officer · 2.5%
7042846
Vays, Tamas
Executive Officer · 2.5%
6474519