New York, NY 1430 Broadway 9th Fl Office

Team
Updated today
Cetera logo

Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,171

Across 5,095 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

1430 Broadway, 9th Fl

New York NY 10018

Advisors at this office

30

Advisors at this office

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Ali K

CFP®, Series 63, Series 65

New York, NY

Cetera

Ali Koprencka is a CFP® with 16 years of industry experience currently with Cetera in New York, NY. His prior firms include Foresters Advisory Services and Foresters Financial, where he worked for nine years. Cetera Investment Advisers LLC is an SEC-registered adviser that serves individual, corporate, charitable, and institutional clients through a large nationwide network of independent advisors. The firm offers a multi-manager platform with a broad range of portfolio management and financial planning services, managing over $256 billion in assets across more than 10,000 advisors.

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

Kevin R

Series 63, Series 65

New York, NY

Cetera

Kevin Rodriguez is a financial advisor with Cetera and holds Series 63 and Series 65 designations. He has 11 years of industry experience, including roles at Foresters Advisory Services and Foresters Financial Services before joining Cetera in 2019. Based in New York, NY, he has been with Cetera and its associated entities for seven years. Cetera Investment Advisers LLC is an SEC-registered firm serving individual clients, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management, financial planning, and retirement services through a multi-manager platform, supporting various investment strategies and program structures.

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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Bruno S

Series 66

New York, NY

Cetera

Bruno Spadafora is a financial advisor at Cetera with a Series 66 credential and less than one year of industry experience. His prior work includes roles at Allied Wealth Partners and Belle Haven Investments, as well as teaching positions at Fox Lane Middle and High Schools. Cetera Investment Advisers LLC serves a broad range of clients including individuals, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers various portfolio management and financial planning services through a nationwide network of independent advisors and employs a multi-manager platform that provides access to 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
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Gregory M

Series 63, Series 66

New York, NY

Cetera

Gregory Mcneill is a financial advisor with Cetera, holding Series 63 and Series 66 credentials and bringing 35 years of industry experience. He has worked at Cetera since 2019 and previously spent over two decades with Foresters Financial Services. Outside of his advisory role, he is involved with Granite Sky Wealth Advisors LLC, which operates as a DBA for his Cetera business. Cetera Investment Advisers LLC is an SEC-registered firm that supports a large nationwide network of independent advisors serving individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform, with over $256 billion in assets under management and more than 10,000 advisors.

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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Jeffrey R

Series 63

New York, NY

Cetera

Jeffrey Regalado is a financial advisor with Cetera in New York, NY, holding a Series 63 designation and 12 years of industry experience. He has worked at Cetera and its affiliate since 2019, and previously was with Americas Life Insurance Corp and Foresters Financial Services. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base including individuals, employer-sponsored retirement plans, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a nationwide network of independent advisors and operates a multi-manager platform with access to both affiliated and third-party investment 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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Craig T

ChFC®, Series 63

New York, NY

Cetera

Craig Thompson is a financial advisor at Cetera with 39 years of industry experience. He holds the ChFC® and Series 63 designations and has worked at firms including Allied Wealth Partners, Securian Financial Services, and Hudson Valley Bank. Outside of his advisory role, he is involved as an agent/broker in fixed insurance sales through Allied Wealth Partners and Thompson Benefits Consultants. Cetera Investment Advisers LLC serves a diverse client base including individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform, with over 10,000 advisors and $256 billion in assets under management.

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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Tracey G

Series 63, Series 66

New York, NY

Cetera

Tracey Graziosa is a financial advisor with Cetera, holding Series 63 and Series 66 credentials and 12 years of industry experience. Her prior work includes roles at JP Morgan Chase Bank, J.P. Morgan Securities, First Republic Securities, and Foresters Financial. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base including individuals, retirement plans, corporate, charitable, and institutional clients. The firm offers discretionary and non-discretionary portfolio management, financial planning, and access to a range of investment strategies through a multi-manager platform.

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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Demir N

Series 63, Series 65

New York, NY

Cetera

Demir Nikovic is a financial advisor with Cetera, holding Series 63 and Series 65 designations and nine years of industry experience. He has worked at Cetera and its affiliates since 2019 and previously held positions with Foresters Advisory Services and Foresters Financial Services. Outside of advisory work, he is involved in handyman and building maintenance services. Cetera Investment Advisers LLC is a nationwide SEC-registered adviser serving a broad client base, including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform with various program structures and custodial relationships.

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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Andrew S

CFP®, Series 66

New York, NY

Cetera

Andrew Sansone is a CFP®-certified financial advisor with 12 years of industry experience. He is currently affiliated with Cetera and has held roles at Allied Wealth Partners and Minnesota Life Insurance Company. Outside of his advisory work, he has served as an agent and broker involved in fixed insurance sales. Cetera Investment Advisers LLC is a large SEC-registered firm that serves a diverse client base including individuals, retirement plans, corporate and charitable organizations, and institutional accounts. The firm offers a multi-manager platform with a variety of portfolio management options and access to third-party money managers, supporting both discretionary and non-discretionary 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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Thomas C

Series 63, Series 66

New York, NY

Cetera

Thomas Claro Jr. is a financial advisor at Cetera with 22 years of industry experience. He holds the Series 63 and Series 66 designations. His prior work includes roles at Allied Wealth Partners, Securian Financial Services, and Minnesota Life Insurance Company. Aside from advisory services, he is also involved as an agent/broker in fixed insurance sales. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, retirement plans, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management and financial planning services with access to multiple third-party managers and program structures.

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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Matthew N

Series 63

New York, NY

Cetera

Matthew Nocco is a financial advisor with Cetera in New York, NY, holding a Series 63 designation and 11 years of industry experience. He has been with Cetera and Cetera Investment Services LLC since 2019, following prior roles at Foresters Financial Services. Additionally, he works as a loan originator for first and second mortgages in New Jersey. Cetera Investment Advisers LLC is an SEC-registered firm serving individual, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management and retirement services and operates a multi-manager platform with various program options and custodial relationships.

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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Thomas F

Series 65, Series 63

New York, NY

Cetera

Thomas Ferguson III is a financial advisor at Cetera with two years of industry experience. He holds Series 65 and Series 63 designations and has prior work experience at Liberty Mutual Insurance and Fanshawe Inc. In addition to his advisory role, he serves as a firefighter for the City of Yonkers. Cetera Investment Advisers LLC is an SEC-registered firm that serves a wide range of clients including individuals, retirement plans, and institutional accounts, offering portfolio management, financial planning, and access to various investment programs through a large network of independent advisors.

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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Matthew B

CFP®, Series 63, Series 66

New York, NY

Cetera

Matthew Brady is a CFP® with 20 years of industry experience, currently serving as a financial advisor at Cetera since 2019. His prior roles include positions at Foresters Financial Services and Foresters Advisory Services, where he worked from 2012 to 2019. Cetera Investment Advisers LLC is an SEC-registered firm that serves a diverse client base including individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a range of portfolio management and financial planning services through a multi-manager platform that supports a variety of program options and investment strategies.

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

Kevin S

Series 63, Series 65

New York, NY

Cetera

Kevin Styles is a financial advisor with Cetera in New York, NY, holding Series 63 and Series 65 licenses and 17 years of industry experience. He has worked with Cetera since 2019 and previously spent a decade with Foresters Financial Services and Foresters Advisory Services. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base that includes individual investors, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with a range of portfolio management and financial planning services across various program structures and custodial relationships.

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

Kevin L

Series 63, Series 65

New York, NY

Cetera

Kevin Lin is a financial advisor with Cetera in New York, NY, holding Series 63 and Series 65 licenses and bringing 18 years of industry experience. He previously worked at Foresters Advisory Services and Foresters Financial Services before joining Cetera in 2019. Outside of his advisory role, he is a vice president and one-third owner of a real estate company where he oversees rent collection and accounting. Cetera Investment Advisers LLC operates a large nationwide network of independent advisors serving a broad range of clients, including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers various portfolio management and financial planning services through multiple program structures and a multi-manager platform.

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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