Individual Firm
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ERIC THOMAS BOTTOLFSEN
CRD#: 5600312
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 PHOENIX, AZ
CETERA ADVISOR NETWORKS LLCCRD#: 13572 2325 E Camelback Rd #400
Phoenix, AZ 85016
Phoenix, AZ 85016
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10/17/2000
Criminal
Final Disposition
State Registrations
B
Alaska 12/17/2024
B
Minnesota 12/17/2024
B
Arizona 12/11/2024
B
Missouri 12/10/2024
IA
Arizona 12/11/2024
B
Montana 12/18/2024
B
California 12/10/2024
B
New Mexico 12/12/2024
B
Colorado 12/12/2024
B
New York 12/12/2024
B
Florida 12/10/2024
B
South Dakota 12/13/2024
B
Illinois 12/16/2024
B
Wisconsin 3/6/2025
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/11/2024
B
Registered with this firm since 12/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/04/2022 - 12/16/2024 | SCOTTSDALE, AZ | |
B | 11/13/2020 - 12/16/2024 | SCOTTSDALE, AZ |
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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.