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Maura Mizuguchi

Chief Accounting Officer at Cetera Investment Advisers

Broker registration; no current adviser registration

Maura Mizuguchi is Chief Accounting Officer of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Maura Mizuguchi has a current broker registration and no current investment-adviser registration and has passed the SIE, Series 99TO and Series 27.

3
Licensing exams

From the IAPD record · data retrieved 18 October 2026 · page updated 20 October 2026SEC record

Career

Maura Mizuguchi has been Chief Accounting Officer of Cetera Investment Advisers since May 2021. Maura Mizuguchi is a control person of the firm and directly owns under 5% of it. Maura Mizuguchi holds a Bachelor’s degree in business administration from the University of Hawaii and an MBA from UCLA.

Cetera Investment Advisers LLC is a Schaumburg, IL firm with $257B under management, 813,961 clients and 9,049 advisers across 6,585 offices, as of its August 2026 filing.

A 2021 foundation profile identifies Maura Mizuguchi as chief accounting officer at Cetera Financial Group.

No adviser firm registrations are on Maura Mizuguchi’s record.

Credentials and registrations

Examinations

Series 2715 January 2021
Name
Financial and Operations Principal Examination
Series 99TO25 June 2020
Name
Operations Professional Examination
SIE10 June 2020
Name
Securities Industry Essentials Examination

Individual record

Full name
Maura Mizuguchi
CRD
5769181
Firm bio
plcmfoundation.org

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Maura Mizuguchi work?

Maura Mizuguchi has been Chief Accounting Officer of Cetera Investment Advisers LLC since May 2021, and is a control person of the firm.

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

Does Maura Mizuguchi have a current investment-adviser registration?

Maura Mizuguchi has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Maura Mizuguchi passed?

Maura Mizuguchi has passed 3 licensing exams: the SIE, Series 99TO and Series 27. The earliest, the SIE, was passed in June 2020.

Source: IAPD individual record, checked 18 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 5769181. 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.
  3. Cetera Investment Advisers team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

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