Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PHILIP STEWART GLEASON
Phil Gleason
CRD#: 4442061
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
Registration History
2002200420062008201020122014201620182020202220242026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2001 - Present (23 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2007 - 2023 (16 years)
License(s)

State Registrations

B
Arizona 1/9/2019
B
Oregon 3/11/2002
B
California 1/15/2002
B
Pennsylvania 1/9/2019
IA
California 6/29/2023
B
Texas 1/9/2019
B
Colorado 2/7/2006
IA
Texas 6/29/2023
B
Mississippi 8/28/2024
B
Virginia 1/2/2014
B
Nevada 1/9/2019
B
Washington 9/21/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
ARCADIA, CA
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
ARCADIA, CA
Registered with this firm since 12/21/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/28/2007 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.