Sarah Anne Kaplan
Investment adviser representative at Cetera Investment Advisers LLC
24 yearsExperience
2 statesRegistered in
$256.8BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
24 years in the industry.
- Cetera Investment Advisers LLCSep 2025 to now
- Cetera Wealth Services, LLCSep 2025 to now
- Sierra Financial Advisors, LLCJun 2017 to now
- Avantax Advisory ServicesOct 2019 to Sep 2025
- Avantax Investment Services, Inc.Oct 2019 to Sep 2025
- Avantax Insurance Services, Inc.Jun 2007 to Sep 2025
- Kuckenmeister & Park, LLCDec 2006 to Jun 2017
- 1st Global Advisors, IncFeb 2006 to Oct 2019
- 1st Global Capital CorpJul 2002 to Oct 2019
Exams passed
- Series 66 · Uniform Combined State Law2002
State registrations
Registered as an investment adviser representative in 2 states (NV, TX).
Cetera Investment Advisers LLC
$256.8BAssets managed
813,961Clients
10,109Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4469396
- Firm CRD
- 105644