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Shyam Umesh Bhatia
Shyam Bhatia
CRD#: 7664228
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 4550 POST OAK PLACE, SUITE 125
HOUSTON, TX 77027
CETERA ADVISOR NETWORKS LLCCRD#: 13572 4550 POST OAK PLACE
SUITE 125
HOUSTON, TX 77027
Registration History
AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Illinois 11/22/2024

IA
Texas 11/22/2024

B
Rhode Island 11/22/2024

B
Utah 11/22/2024

B
Texas 11/22/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
4550 POST OAK PLACE, SUITE 125, HOUSTON, TX 77027
Registered with this firm since 11/22/2024

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
4550 POST OAK PLACE SUITE 125, HOUSTON, TX 77027
Registered with this firm since 11/22/2024

Previous Registration(s)
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IA
04/11/2023 - 11/07/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) HOUSTON, TX
B
03/06/2023 - 11/07/2024 PRUCO SECURITIES, LLC. (CRD#:5685) HOUSTON, TX
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B
Broker
IA
Investment Adviser
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.