Tipton Wayne Huffman

Current Employers

Employment History

• 04/1996 → 10/2016
  Investors Capital Corp.
  Anaheim, CA
• 07/1993 → 03/2020
  Twh Annuities & Ins Agency, Inc
  Anaheim, CA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2022 → Present
  Twh1
  Corona, CA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-01-10 → 2016-10-03
  Investors Capital Corp.
  Tustin, CA
  Tulsa, OK
  Lynnfield, MA
  Anaheim, CA
  Lynnfield, MA
  Sun City West, AZ
  Lynnfield, MA
• 1999-06-21 → 2004-12-31
  Eastern Point Advisors Inc.
  Anaheim, CA

Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/02/2016; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES, AND LONG TERM CARE; (2) NAME OF OTHER BUSINESS: TWH1 INVESTMENT RELATED: NO ADDRESS: 650 E. PARKRIDGE SUITE 112, CORONA, CA, 92879, NATURE OF BUSINESS: S CORPORATION START DATE: 03/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: TAX REPORTING PURPOSES ONLY;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-23
• S63 Uniform Securities Agent State Law Examination
  1996-02-07

Designations

Other Names

• Tip Huffman