Portsmouth, NH Fleet Street Office

Team
Updated today
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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

155 Fleet Street, Suite 208.5

Portsmouth NH 03801

Advisors at this office

4

Advisors at this office

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Simon C

Series 66

Portsmouth, NH

Cetera

Simon Cote is a financial advisor at Cetera with two years of industry experience. He holds a Series 66 designation and has worked in advisory roles at TSWM Advisory Group and Avantax Advisory Services, among others. Outside of his advisory work, he has experience in client services and administrative roles supporting investment advisors. Cetera Investment Advisers LLC is a large, SEC-registered firm serving individual investors, 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 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
user avatar

Ernest T

Series 66

Portsmouth, NH

Cetera

Ernest Tyler is a financial advisor at Cetera with nine years of industry experience. He holds the Series 66 designation and has held roles at several firms, including Avantax Advisory Services and 1st Global Advisors. In addition to his advisory work, he is a partner in TSSWMM Financial Group and TSWM Advisory Group, where he focuses on retirement, succession, and estate planning, and he also consults on tax and estate planning through TSS Advisors. Cetera Investment Advisers LLC serves a diverse client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a comprehensive range of portfolio management and financial planning services through a multi-manager platform, combining affiliated and third-party managers across various 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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Mark R

Series 63, Series 66

Portsmouth, NH

Cetera

Mark Ross is a financial advisor at Cetera with 15 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at firms including Avantax Advisory Services, LPL Financial, and Citizens Securities. He serves as a board member of a condominium association in Portsmouth, NH, where he contributes to fiscal policy and budgeting. Cetera Investment Advisers LLC is an SEC-registered adviser supporting a nationwide network of over 10,000 independent advisors. The firm serves individuals, retirement plans, corporate and charitable clients, and institutional accounts, offering a range of portfolio management and financial planning services through multi-manager platforms and diverse program structures.

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

Christopher J

CFP®, Series 66

Portsmouth, NH

Cetera

Christopher Johnson is a CFP® designated financial advisor with 19 years of industry experience. He is currently with Cetera and holds leadership roles including Director of Wealth Management at TSWM Advisory Group, which he co-owns, and owner of TSSWMM Financial Group. His career includes prior roles at USAA Financial Advisors and Avantax. Johnson also engages in consulting and speaking activities related to succession and estate planning for auto dealership clients. Cetera Investment Advisers LLC is a nationwide SEC-registered advisory firm serving a broad client base including individuals, retirement plans, and institutional accounts. The firm offers a multi-manager platform with a range of investment program options and manages over $256 billion in assets through a network of 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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