CA
Cetera Advisory Services Llc
SEC-registered
Investment Adviser
CRD 285648
· SEC file 801-108603
· El Segundo, CA
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ADV data as of Apr 01, 2026
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- —
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 14
AUM over time
$0
$0
Oct 2016
Nov 2016
Annual snapshots from Form ADV filings · as of Apr 01, 2026
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Centra Ventures, Inc. 401(k) Plan Falcon National Bank | 2024 | |
| Bonney Plumbing Llc 401(k) Profit Sharing Plan Bonney Plumbing Llc | 2024 | |
| Therapynotes 401(k) Plan Therapynotes, Llc | 2024 | |
| Tasi Test & Automation 401(k) Plan Tasi Test & Automation Holdings, Inc. | 2024 | |
| Schnabel, Inc. 401(k) And Profit Sharing Plan Schnabel, Inc. D/B/A Schnabel Engineering, Inc. | 2024 | |
| Mary Ann's Baking Co., Inc. Profit Sharing Mary Ann's Baking Co., Inc. | 2024 | |
| Paychex Pooled Employer 401(k) Plan Paychex Retirement Llc | 2024 | |
| Provident Funding 401(k) Plan Provident Funding Associates, L.P. | 2024 | |
| Masterpiece Flower Company, Llc 401(k) Retirement Plan Masterpiece Flower Company, Llc | 2024 | |
| Flow Control Enterprises, Inc. 401(k) Plan Flow Control Enterprises, Inc. | 2024 | |
| Roundabout Entertainment Inc 401(k) Profit Sharing Plan & Trust Roundabout Entertainment Inc | 2024 | |
| Bank Of Ireland Group U.S. 401(k) Savings Plan The Governor And Company Of The Bank Of Ireland | 2024 |
People (13)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kristy Marie Haley | Advisory Chief Compliance Officer | Jun 2016 (10y) | Less than 5% | |
| Buchheister, Jeffrey, Robert | Cheif Financial Officer | Apr 2021 (5y) | Less than 5% | |
| Chaffin, Gary, Lynn | Tax Officer | Apr 2021 (5y) | Less than 5% | |
| Gok, Lisa, Anne | Secretary | Apr 2021 (5y) | Less than 5% | |
| Gooley, Thomas, Andrew | Vice President | Apr 2021 (5y) | Less than 5% | |
| Joseph Daniel Neary | Vice President, Manager | Apr 2021 (5y) | Less than 5% | |
| Mizuguchi, Maura, Rie | Chief Accounting Officer | Apr 2021 (5y) | Less than 5% | |
| Shores, Allan, Keith | Treasurer | Apr 2021 (5y) | Less than 5% | |
| Smiley, Stanley, Robert | Vice President | Apr 2021 (5y) | Less than 5% | |
| Thomas Byron Taylor | Ceo, President | CFP | Apr 2021 (5y) | Less than 5% |
| Van Havermaat, David, James | Assistant Secretary | Apr 2021 (5y) | Less than 5% | |
| Lee, Winnie, Ai Ling | Assistant Secretary | May 2022 (4y) | Less than 5% | |
| Fries, Matthew, Neil Kalani | Vice | Jul 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Cetera Financial Group, Inc. | Sole Member | Jun 2016 | A | 75% or more |
| Cetera Financial Holdings, Llc | Owner | Oct 2009 | B | ≈ 56.25% – 100% via Cetera Financial Group, Inc. |
| Aretec Group, Inc | Owner | Oct 2009 | B | ≈ 42.19% – 100% via Cetera Financial Holdings, Llc |
| Gc Three Holdings, Llc | Owner | Jul 2018 | B | 75% or more of Gc Two Holdings, Inc (indirect) |
| Cetera Financial Group, Inc | Sole Member | Oct 2012 | B | ≈ 56.25% – 100% via Cetera Financial Group, Inc. |
| Gc Two Intermediate Holdings, Inc | Owner | Dec 2012 | B | GP / trustee / elected manager of Aretec Group, Inc (indirect) |
| Gc Two Holdings, Inc | Owner | Jul 2018 | B | GP / trustee / elected manager of Gc Two Intermediate Holdings, Inc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Cetera Financial Holdings, Llc: 75% – 100% of Cetera Financial Group, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Aretec Group, Inc: 75% – 100% of Cetera Financial Holdings, Llc × 75% – 100% of Cetera Financial Group, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Cetera Financial Group, Inc: 75% – 100% of Cetera Financial Group, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (12)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Centra Ventures, Inc. 401(k) Plan | Falcon National Bank | 120 | $13.9M | 01/01/2024 |
| Bonney Plumbing Llc 401(k) Profit Sharing Plan | Bonney Plumbing Llc | 269 | $6.0M | 01/01/2024 |
| Therapynotes 401(k) Plan | Therapynotes, Llc | 401 | $11.4M | 01/01/2024 |
| Tasi Test & Automation 401(k) Plan | Tasi Test & Automation Holdings, Inc. | 0 | $84.2M | 01/01/2024 |
| Schnabel, Inc. 401(k) And Profit Sharing Plan | Schnabel, Inc. D/B/A Schnabel Engineering, Inc. | 611 | $90.2M | 01/01/2024 |
| Mary Ann's Baking Co., Inc. Profit Sharing | Mary Ann's Baking Co., Inc. | 137 | $7.1M | 01/01/2024 |
| Paychex Pooled Employer 401(k) Plan | Paychex Retirement Llc | 621,703 | $1.8B | 01/01/2024 |
| Provident Funding 401(k) Plan | Provident Funding Associates, L.P. | 376 | $36.2M | 01/01/2024 |
| Masterpiece Flower Company, Llc 401(k) Retirement Plan | Masterpiece Flower Company, Llc | 275 | $15.7M | 01/01/2024 |
| Flow Control Enterprises, Inc. 401(k) Plan | Flow Control Enterprises, Inc. | 711 | $72.4M | 01/01/2024 |
| Roundabout Entertainment Inc 401(k) Profit Sharing Plan & Trust | Roundabout Entertainment Inc | 131 | $6.0M | 01/01/2024 |
| Bank Of Ireland Group U.S. 401(k) Savings Plan | The Governor And Company Of The Bank Of Ireland | 35 | $31.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 1.53 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗