Boca Raton, FL Office

Team
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,190

Across 5,084 offices

Clients per advisor

79 Low

Avg AUM per client

$306,089 Low

HNW client ratio

10% Low

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

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy

Based on Cetera

Occupation focus

Founder/Business Owner Executive

Based on Cetera

Location

Boca Raton FL

Advisors at this office

6

Advisors at this office

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David R

Series 63, Series 65

Boca Raton, FL

Cetera

David Rossler is a financial advisor with Cetera, holding Series 63 and Series 65 credentials and over 28 years of industry experience. He has been with Cetera and its affiliates since 2004 and is president of Rossler & Company PA, which provides accounting and tax services. He also leads D & M Associates, Inc., a bookkeeping and office supplies business. Cetera Investment Advisers LLC serves a wide range of clients, including individuals, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to various program structures and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Glen B

CFP®, Series 63, Series 65

Boca Raton, FL

Cetera

Glen Berngard is a CFP®-certified financial advisor with 35 years of industry experience, currently with Cetera since 1996. He also leads Berngard & Associates, a CPA firm he founded in 1987, where he serves as president and holds limited power of attorney for tax matters. In addition to his advisory work, he acts as an agent for Aetna Health Insurance. Cetera Investment Advisers LLC is an SEC-registered firm serving individual clients, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform with options including model portfolios, third-party managers, and bespoke strategies.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Glen M

Series 63, Series 66

Boca Raton, FL

Cetera

Glen Morris is a financial advisor at Cetera with 33 years of industry experience. He holds Series 63 and Series 66 designations and has worked at Cetera and related firms since 2019, with prior experience at Summit Financial Group and Summit Brokerage Services. Outside of finance, he is a singer, songwriter, and musician involved with a musical group called Eddy St. Cetera Investment Advisers LLC serves individual, retirement plan, corporate, charitable, and institutional clients through a large nationwide network of independent advisors. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

David K

Series 63, Series 66

Boca Raton, FL

Cetera

David Koifman is a financial advisor at Cetera with 21 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at multiple firms, including several roles within Cetera and prior positions at Finalis Securities LLC and First Allied Securities Inc. Outside of his advisory duties, he is involved in tax and accounting support through Eco-Tax and is an owner/member of PDMK, LLC, an expense management entity. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers, managing over $256 billion in assets.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Mitchel S

CFP®, Series 63, Series 65

Boca Raton, FL

Cetera

Mitchel Shapiro is a CFP® professional with 42 years of experience in financial advising, currently associated with Cetera. He has been with Cetera Advisors LLC since 2013 and is the owner of Shapiro Financial Advisors South, LLC. Outside of his advisory roles, he is also involved in selling fixed insurance products, including life, health, disability, annuities, and long-term care insurance. Cetera Investment Advisers LLC operates a nationwide network of independent advisors serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services through a multi-manager platform with access to both affiliated and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Yana S

CFP®, Series 63, Series 65

Boca Raton, FL

Cetera

Yana Sogolov is a CFP®-credentialed financial advisor with 25 years of industry experience, currently affiliated with Cetera. Her work history includes roles at Pro Habits, a technology platform where she serves as Director of Customer Services, and Mabbly, a digital marketing firm where she functions as an account manager. She also serves as an arbitrator for FINRA. Cetera Investment Advisers LLC is an SEC-registered firm that serves individual, retirement plan, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management and financial planning services and operates a multi-manager platform with access to various investment models and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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