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CETERA INVESTMENT MANAGEMENT LLC
CRD 165436File 801-77403
APPROVED
Filing as of Aug 11, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
Not reported
Discretionary AUM
Not reported
Clients
0
Not reported accounts
Employees
25
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 3, 2013
- Principal office
- 1450 AMERICAN LANE, SUITE 650, SCHAMBURG, IL, 60173
- Phone
- 310-257-7880
Assets & accounts
ADV Item 5F- Total regulatory AUM
- Not reported
- Discretionary AUM
- Not reported
- Non-discretionary AUM
- Not reported
- Discretionary accounts
- Not reported
- Non-discretionary accounts
- Not reported
- Total accounts
- Not reported
- AUM per client
- —
Clients by type
ADV Item 5DNo client-type detail reported.
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — NO COMPENSATION RECEIVED
Advisory activities
- Other advisory activities
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | — | 0 |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.