Unclaimed Profile

Ami Shah

CETERA INVESTMENT ADVISERS LLC·SCHAUMBURG, Illinois

SIE, Series 7, Series 24, Series 66Clean record12 years registeredCETERA INVESTMENT ADVISERS LLC

200 NORTH MARTINGALE ROAD, SCHAUMBURG, IL 60173-2096CRD# 5773938Firm CRD# 105644

Profile Verification

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

Identity

Ami Shah · SCHAUMBURG, IL

Registration

CRD #5773938 · CETERA INVESTMENT ADVISERS LLC · 12 years registered

Brand Profile

Not yet started

Career History

VALIC FINANCIAL ADVISORS, INC.

Dec 2016 – present

CETERA ADVISOR NETWORKS LLC

Jun 2014 – Dec 2015

EL SEGUNDO, CA

CETERA ADVISORS LLC

Jun 2014 – Dec 2015

EL SEGUNDO, CA

CETERA INVESTMENT ADVISERS LLC

Jun 2014 – Dec 2015

SCHAUMBURG, IL

TOWER SQUARE INVESTMENT MANAGEMENT LLC

Jun 2014 – Dec 2015

EL SEGUNDO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Registration record

First registered · June 9, 2014

Years registered · 12

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 INVESTMENT ADVISERS LLC

CRD 105644 · SEC 801-20406

AUM

$104.5B

Regulatory assets under management

Employees

6,648

423,554 client accounts

Services offered by CETERA INVESTMENT ADVISERS 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 INVESTMENT ADVISERS LLC →

Introduction

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Frequently Asked Questions

What services does Ami Shah offer?

Ami Shah specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SCHAUMBURG, Illinois for a consultation.

What are Ami Shah's credentials?

Ami Shah is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ami Shah located?

Ami Shah is based in SCHAUMBURG, Illinois, working with CETERA INVESTMENT ADVISERS LLC. Their office serves clients in the SCHAUMBURG metropolitan area and surrounding communities.

How does Ami Shah charge for services?

Ami Shah's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA INVESTMENT ADVISERS LLC?

CETERA INVESTMENT ADVISERS LLC has approximately 6648 employees and manages $104.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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