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
MANUEL REYNOSO
MANNY REYNOSO, MANUEL LOPEZ REYNOSO, MANUEL REYNOSO JR, Manuel Reynoso III
CRD#: 6062270
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2020 (3 years)2 FIRMS2020 - Present (5 years)BWADDELL & REED (CRD# 866)2012 - 2015 (2 years)BFARMERS FINANCIAL SOLUTIONS, LLC (CRD# 103863)2012 - 2012 (<1 year)IAWADDELL & REED (CRD# 866)2013 - 2015 (2 years)
License(s)

State Registrations

B
Arizona 3/27/2020
B
Oregon 8/6/2020
B
California 3/10/2020
B
Texas 3/22/2022
IA
California 3/10/2020
IA
Texas 5/16/2022
B
Kansas 7/20/2022

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)
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
CLAREMONT, CA
Registered with this firm since 3/10/2020
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
CLAREMONT, CA
Registered with this firm since 3/10/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/25/2017 - 03/12/2020 MML INVESTORS SERVICES, LLC (CRD#:10409) PASADENA, CA
B
 03/25/2017 - 03/12/2020 MML INVESTORS SERVICES, LLC (CRD#:10409) PASADENA, CA
IA
 10/01/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) PASADENA, CA
B
 10/01/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) PASADENA, CA
IA
 01/01/2013 - 10/06/2015 WADDELL & REED (CRD#:866) RIVERSIDE, CA
B
 11/06/2012 - 10/06/2015 WADDELL & REED (CRD#:866) RIVERSIDE, CA
B
 06/08/2012 - 08/31/2012 FARMERS FINANCIAL SOLUTIONS, LLC (CRD#:103863) SAN DIMAS, 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.