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Investment Adviser Firm Summary

CETERA ADVISORS LLC (CRD# 10299 / SEC# 8-26892, 801-33020)
Alternate Names: CETERA ADVISORS LLC , MULTI-FINANCIAL SECURITIES CORPORATION

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/27/1988

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 10/19/1999
Alaska 03/24/1998
Arizona 10/21/1996
Arkansas 07/24/1997
California 07/08/1997
Colorado 01/01/1999
Connecticut 09/15/1997
Delaware 08/27/2003
District of Columbia 01/02/1993
Florida 10/18/1994
Georgia 03/16/2000
Hawaii 05/01/1996
Idaho 01/06/1994
Illinois 11/29/1993
Indiana 02/13/2001
Iowa 05/30/2000
Kansas 10/28/1997
Kentucky 01/14/2004
Louisiana 10/11/2001
Maine 06/05/1998
Maryland 09/06/1992
Massachusetts 03/27/2002
Michigan 07/30/2001
Minnesota 02/03/1993
Mississippi 01/30/2001
Missouri 08/08/1995
Montana 05/10/2001
Nebraska 09/05/2001
Nevada 08/06/1998
New Hampshire 07/08/1997
New Jersey 02/11/1993
New Mexico 01/06/1994
New York 03/31/1993
North Carolina 01/30/2001
North Dakota 09/19/2001
Ohio 05/11/2000
Oklahoma 01/01/1998
Oregon 09/17/2001
Pennsylvania 08/30/2001
Puerto Rico 08/15/2013
Rhode Island 05/24/1995
South Carolina 01/30/2001
South Dakota 04/24/1995
Tennessee 10/10/1997
Texas 11/03/1983
Utah 04/14/1995
Vermont 03/27/2002
Virgin Islands 04/01/2013
Virginia 06/26/1992
Washington 03/07/1994
West Virginia 09/15/1997
Wisconsin 02/12/1993

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser