Unclaimed Profile

Kathleen Denise Vannoy-Pineda

CETERA ADVISORS LLC·GREENWOOD VILLAGE, Colorado

SIE, Series 7, Series 14, Series 24, Series 26, Series 63, Series 99TOClean record16 years registeredCETERA ADVISORS LLC

5299 DTC BLVD, GREENWOOD VILLAGE, CO 80111CRD# 1347526Firm CRD# 10299

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kathleen Denise Vannoy-Pineda · GREENWOOD VILLAGE, CO

Registration

CRD #1347526 · CETERA ADVISORS LLC · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CETERA ADVISORS LLC

INDEPENDENT ADVISERS GROUP CORP

Apr 2010 – Apr 2015

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 14

Series 24

Series 26

Series 63

Series 99TO

Registration record

First registered · April 28, 2010

Years registered · 16

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA ADVISORS LLC

CRD 10299 · SEC 801-33020

AUM

$22.0B

Regulatory assets under management

Employees

1,138

81,652 client accounts

Services offered by CETERA ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CETERA ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Kathleen Denise Vannoy-Pineda offer?

Kathleen Denise Vannoy-Pineda specializes in Financial Planning, Investment Management, Wealth Management.

What are Kathleen Denise Vannoy-Pineda's credentials?

Kathleen Denise Vannoy-Pineda is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kathleen Denise Vannoy-Pineda located?

Kathleen Denise Vannoy-Pineda is based in GREENWOOD VILLAGE, Colorado, last registered with CETERA ADVISORS LLC.

How does Kathleen Denise Vannoy-Pineda charge for services?

Kathleen Denise Vannoy-Pineda's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA ADVISORS LLC?

CETERA ADVISORS LLC has approximately 1138 employees and manages $22.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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