Individual Firm
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CARL LOUIS MEIER
CRD#: 1034987
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1390 WILLOW PASS RD STE 900
CONCORD, CA 94520
CONCORD, CA 94520
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1390 WILLOW PASS RD STE 900
CONCORD, CA 94520
CONCORD, CA 94520
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2/16/2000
Customer Dispute
Denied
12/26/1984
Employment Separation After Allegations
State Registrations
B
Alaska 6/5/2001
B
Nevada 3/23/2006
B
Arizona 10/25/2012
B
New York 6/5/2001
B
California 6/5/2001
B
Oklahoma 2/21/2024
IA
California 6/29/2023
B
South Carolina 10/20/2021
B
Colorado 10/8/2003
B
Texas 7/12/2019
B
District of Columbia 4/1/2008
IA
Texas 6/29/2023
B
Idaho 6/25/2019
B
Virginia 12/2/2024
B
Massachusetts 10/8/2024
B
Washington 5/9/2011
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 6/5/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/12/2001 - 06/29/2023 | PLEASANT HILL, CA | |
B | 06/21/1995 - 05/23/2001 | ALAMO, CA | |
B | 07/31/1993 - 06/05/1995 | NEW YORK, NY | |
B | 01/18/1985 - 07/31/1993 | NEW YORK, NY | |
B | 03/02/1982 - 12/26/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.