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Kristy Haley

Chief Compliance Officer, Advisory at Cetera Investment Advisers

Investment adviser and broker registrationsSEC record checked 17 October 2026

25
Years in the industry
14
Years at the firm
10
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Kristy Haley is Chief Compliance Officer, Advisory of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Kristy Haley has been registered through Cetera Investment Advisers since 1 May 2012, has 25 years in the industry across 10 firms and has passed 6 licensing exams.

Role at Cetera Investment Advisers

Title on Schedule A
Chief Compliance Officer, Advisory
Control
Kristy Haley is a control person of Cetera Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Kristy Haley has held the filed role since November 2015.

The firm

Cetera Investment Advisers LLC
Schaumburg, IL

Form ADV filed 13 August 2026

$257B AUM813,961 clients9,049 advisers28 offices

Career on record

Kristy Haley has been registered through Cetera Investment Advisers since May 2012, and before that through Invest Financial Corporation, Gunnallen Financial, Inc and Fpc Services, Inc..

Firms and exams, newest first
  1. Cetera Planning PartnersCurrent
    – present · under a year
    , · Adviser representative · Firm CRD 129625
  2. Avantax Planning Partners, Inc.Current
    – present · 2 years
    El Segundo, CA · Adviser representative · Firm CRD 106237
  3. Avantax Advisory Services
    – · 1 year
    El Segundo, CA · Adviser representative · Firm CRD 104556
  4. Passed Series 14 · 2023
  5. Passed SIE · 2018
  6. Cetera Investment Management LLCCurrent
    – present · 11 years
    , · Adviser representative · Firm CRD 165436
  7. Cetera Advisors LLC
    – · 12 years
    Greenwood Village, IL · Adviser representative · Firm CRD 10299
  8. Cetera Investment Advisers LLCCurrent
    – present · 14 years
    , · Adviser representative · Firm CRD 105644
  9. Cetera Advisor Networks LLC
    – · 12 years
    El Segundo, CA · Adviser representative · Firm CRD 13572
  10. Invest Financial Corporation
    – · 3 years
    Tampa, FL · Adviser representative · Firm CRD 12984
  11. Gunnallen Financial, Inc
    – · 2 years
    Tampa, FL · Adviser representative · Firm CRD 17609
  12. Fpc Services, Inc.
    – · under a year
    Tampa, FL · Adviser representative · Firm CRD 123303
  13. Passed Series 65 · 2005
  14. Passed Series 7, Series 63 and Series 24 · 2001

Registrations and exams

Kristy Haley has a current investment-adviser registration in California and has passed 6 qualifying exams.

California1 May 2012
Scope
Investment adviser representative
Status
Approved

Examinations

Series 655 December 2005
Name
Uniform Investment Adviser Law Examination
Series 6311 August 2001
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 243 October 2001
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 731 March 2001
Name
General Securities Representative Examination

Individual record

Full name
Kristy Marie Haley
CRD
4022155
Firm
Cetera Investment Advisers LLC
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Kristy Haley work?

Kristy Haley has been Chief Compliance Officer, Advisory of Cetera Investment Advisers LLC since November 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 13 August 2026

Is Kristy Haley a financial advisor?

Yes. Kristy Haley has a current investment-adviser registration in California, through Cetera Investment Advisers since May 2012, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Kristy Haley have?

Kristy Haley has worked in the financial industry for 25 years as of 17 October 2026, counted from 28 April 2001, across 10 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Kristy Haley passed?

Kristy Haley has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, SIE and Series 14. The earliest, the Series 7, was passed in March 2001.

Source: IAPD individual record, checked 17 October 2026

Where did Kristy Haley work before Cetera Investment Advisers?

Before Cetera Investment Advisers, Kristy Haley was registered through Invest Financial Corporation, May 2008 to March 2011; Gunnallen Financial, Inc, August 2006 to May 2008; Fpc Services, Inc., May 2006 to July 2006.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 4022155. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cetera Investment Advisers LLC, filed 13 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Kristy Haley or Cetera Investment Advisers LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.