Individual Firm
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HENRY ALAVA
CRD#: 1878718
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 15610 WALDEN AVENUE
TAMPA, FL 33618
TAMPA, FL 33618
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 TAMPA, FL
0
Disclosures
35
Years of Experience
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State Registrations
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Colorado 12/13/2023
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North Carolina 1/16/2018
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Florida 10/24/2005
B
Ohio 2/19/2016
IA
Florida 10/25/2005
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Oklahoma 12/8/2022
SRO Registrations
B
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IA
Registered with this firm since 10/25/2005
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/12/2000 - 11/01/2005 | POMPTON LAKES, NJ | |
B | 06/20/2000 - 10/24/2005 | POMPTON LAKES, NJ | |
B | 07/20/1999 - 06/19/2000 | HUDSON, OH | |
B | 01/06/1998 - 07/22/1999 | COLORADO SPRINGS, CO | |
B | 03/12/1994 - 12/31/1997 | OAKDALE, MN | |
B | 10/03/1988 - 03/09/1993 | SPRINGFIELD, MA | |
B | 10/03/1988 - 03/09/1993 | NEW YORK, NY |
POMPTON LAKES, NJ
07/12/2000 - 11/01/2005
COLORADO SPRINGS, CO
01/06/1998 - 07/22/1999
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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.