IA
IA
Ira Aguado
38 Years of Experience
Garden City, NY
4 DisclosuresBroker
Ira Aguado is a registered investment advisor at Cetera Investment Advisers LLC, based in Garden City, NY, with 38 years of industry experience. Ira is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
1225 Franklin Avenue, Suite 500, Garden City, NY, 11530
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2016Denied
Customer Dispute
January 2005Settled
Regulatory
March 2003Final
Employment Separation After Allegations
January 2002Other Business Activities
Ira is the owner of Aguado Capital Management, a DBA for Cetera Business.
Employment History
Current Registrations
Cetera Investment Advisers LLC
May 2021 - Present · 5 yrs 5 mos
Cetera Investment Services LLC
April 2020 - Present · 6 yrs 6 mos
Cetera Investment Services LLCBroker
April 2020 - Present · 6 yrs 6 mos
Previous Registrations
LPL Financial LLCBroker
September 2008 - April 2020 · 11 yrs 7 mos
Essex National Securities, INC.Broker
June 2006 - September 2008 · 2 yrs 3 mos
Pfic Securities CorporationBroker
October 2005 - June 2006 · 8 mos
Fiserv Investor Services, INC.Broker
April 2004 - October 2005 · 1 yr 6 mos
Pfic Securities CorporationBroker
December 2002 - April 2004 · 1 yr 4 mos
Wm Financial Services, INC.Broker
May 2002 - January 2003 · 8 mos
Dime Securities, INC.Broker
February 2002 - May 2002 · 3 mos
Essex National Securities, INC.Broker
November 1997 - January 2002 · 4 yrs 2 mos
Guardian Investor Services CorporationBroker
February 1996 - November 1997 · 1 yr 9 mos
Mony Securities CORP.Broker
May 1994 - December 1995 · 1 yr 7 mos
Nylife Securities INC.Broker
September 1987 - March 1994 · 6 yrs 6 mos
State Registrations11 states
CACTFLINMNNCNJNYPASCTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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