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Mildred Patubo

Cetera Investment Advisers LLC
28 Years of Experience
San Jose, CA
4 DisclosuresBroker
View SEC Summary
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Mildred Patubo is a registered investment advisor at Cetera Investment Advisers LLC, based in San Jose, CA, with 28 years of industry experience. Mildred 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.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

5615 Chesbro Ave, San Jose, CA, 95123

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History

Regulatory History (4)
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Judgment / Lien
August 2024
Judgment / Lien
October 2023
Employment Separation After Allegations
January 2019
Customer Dispute
June 2011
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cetera Investment Advisers LLC
October 2022 - Present · 4 yrs
Cetera Investment Services LLCBroker
October 2022 - Present · 4 yrs
Previous Registrations
Mutual of Omaha Investor Services, INC.Broker
July 2021 - October 2022 · 1 yr 3 mos
Mutual of Omaha Investor Services, INC.
June 2021 - October 2022 · 1 yr 4 mos
Secure Investment Management, LLC
February 2020 - May 2021 · 1 yr 3 mos
Citigroup Global Markets INC.
December 2015 - February 2019 · 3 yrs 2 mos
Citigroup Global Markets INC.Broker
December 2015 - February 2019 · 3 yrs 2 mos
Wells Fargo Advisors, LLC
June 2011 - January 2016 · 4 yrs 7 mos
Wells Fargo Advisors, LLCBroker
June 2011 - January 2016 · 4 yrs 7 mos
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
June 2010 - June 2011 · 1 yr
Bancwest Investment Services, INC.Broker
June 2010 - June 2011 · 1 yr
LPL Financial CorporationBroker
August 2008 - June 2010 · 1 yr 10 mos
LPL Financial Corporation
August 2008 - June 2010 · 1 yr 10 mos
Wells Fargo Investments, LLC
September 2007 - July 2008 · 10 mos
Wells Fargo Investments, LLCBroker
September 2007 - July 2008 · 10 mos
Merrill Lynch Pierce Fenner & Smith INC.
May 2004 - June 2007 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2004 - June 2007 · 3 yrs 1 mo
Charles Schwab & CO., INC.Broker
October 1996 - January 2004 · 7 yrs 3 mos
Charles A. Bell Securities CORP.Broker
August 1994 - January 1995 · 5 mos
State Registrations4 states
AZCAGATX
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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