Lombard, IL Orchard Terrace 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
105 Orchard Terrace
Lombard IL 60148
Advisors at this office
3
Advisors at this office
Karen M
Series 66
Lombard, IL
Cetera
Karen Mahan is a financial advisor with Cetera, holding a Series 66 credential and 20 years of industry experience. She has worked with Hurt & Associates since 2011 and has been with Cetera and Cetera Financial Specialists LLC since 2009. Outside of finance, she teaches Jazzercise dance aerobics classes in Glen Ellyn, IL. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a variety of portfolio management and financial planning services through a large network of independent advisors and employs a multi-manager platform with discretionary and non-discretionary program options.
Thomas P
Series 63, Series 65
Lombard, IL
Cetera
Thomas Piehl is a financial advisor at Cetera with 28 years of industry experience. He holds Series 63 and Series 65 designations and has worked at Cetera and affiliated entities since 2003. In addition to his advisory role, he is president and sole shareholder of an accounting and income tax practice established in 1990, providing accounting write-up services and tax preparation. Cetera Investment Advisers LLC operates as a multi-manager platform serving individual, retirement plan, corporate, charitable, and institutional clients. The firm offers portfolio management, financial planning, and a variety of program structures with access to third-party money managers, managing over $256 billion in assets through a network of more than 10,000 advisors.
Patrick P
Series 63, Series 65
Lombard, IL
Cetera
Patrick Perrotta is a financial advisor at Cetera with 21 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Hurt & Associates, Ameriprise Financial Services, and Cetera entities since 2016. He is also involved with Hurt & Associates, Inc., an investment-related business in Lombard, IL. Cetera Investment Advisers LLC provides advisory services through a nationwide network of over 10,000 independent advisors, serving individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers various portfolio management and financial planning services, utilizing a multi-manager platform with a broad range of investment program options.
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