Albany, NY Great Oaks Blvd Office
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Cetera
Institution
Firm-wide stats for Cetera
About
Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.
The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.
Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.
Based on Cetera
Expertise
Based on Cetera
Location
200 Great Oaks Blvd Ste 221
Albany NY 12203
Advisors at this office
3
Advisors at this office
Michael S
Series 63, Series 65
Albany, NY
Cetera
Michael Shapiro is a financial advisor with Cetera, holding Series 63 and Series 65 licenses and bringing 28 years of industry experience. Before joining Cetera, he worked at Voya Financial Advisors for seven years. He is also senior vice president of Professional Planning Group and operates as an independent insurance agent in Albany, NY. Cetera Investment Advisers LLC is an SEC-registered adviser serving individuals, retirement plans, corporate, charitable, and institutional clients through a nationwide network of over 10,000 advisors. The firm offers a range of portfolio management and financial planning services and utilizes a multi-manager platform that includes affiliated and third-party managers.
Richard A
Series 63, Series 65
Albany, NY
Cetera
Richard Anthony is a financial advisor with Cetera, holding Series 63 and Series 65 licenses and bringing 34 years of industry experience. He has worked at Cetera and its affiliated entities since 2014 and previously at VOYA Financial Advisors. Outside of his advisory work, he coaches independent financial advisors through his business, Getting Results Coaching. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base, including individuals, retirement plans, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform with both affiliated and third-party investment options.
Stephen P
Series 66
Albany, NY
Cetera
Stephen Peer is a financial advisor with Cetera, holding a Series 66 designation and bringing 43 years of industry experience. His prior roles include Voya Financial Advisors and operating Peer Wealth Management, an independent financial services business. He is also involved in fixed insurance product sales through his activities as an independent insurance agent. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base including individuals, employer-sponsored retirement plans, corporate, charitable, and institutional accounts. The firm offers a multi-manager platform with a range of portfolio management and financial planning services, supported by over 10,000 advisors and $256 billion in assets under management.
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