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CETERA INVESTMENT MANAGEMENT LLC

SCHAMBURG, IL · CRD 165436 · IAPD ↗ · cetera.com · 310-257-7880

$0Regulatory AUM
9Advisory reps
25Employees
1Clients
0Planning clients
0Private funds
2States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
April 2025 — CETERA INVESTMENT MANAGEMENT LLC shrank from 13 to 9 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
April 2024 — CETERA INVESTMENT MANAGEMENT LLC added office(s): 2 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2024 — CETERA INVESTMENT MANAGEMENT LLC grew from 7 to 13 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.