Neddie James Bokosky

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1990 → 08/2023
  Minnesota Life
  Irvine, CA
• 11/1990 → 08/2023
  Securian Financial Services
  Newport Beach, CA
• 07/1980 → Present
  Tax & Financial Group
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 12/2025 → Present
  Neddie James Bokosky
  Newport Beach, CA

Previous Registrations

• 2003-02-13 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  Newport Beach, CA
  St. Paul, MN

Other Businesses

1) RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1988 ADDRESS: , Irvine CA , United States DESCRIPTION: Owner 2) TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/01/1980 ADDRESS: , Newport Beach CA , United States DESCRIPTION: Agent/Broker 3) PROJECT KOKORO CLUB OF ORANGE COUNTY BUDDHIST CHURCH POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 909 S. Ball Road, Anaheim CA 92804, United States DESCRIPTION: Project Kokoro (aka PK) is a senior outreach club for the Orange County Buddhist Church. 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2023; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 5) NAME OF OTHER BUSINESS: NEDDIE JAMES BOKOSKY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT START DATE: 12/19/2025 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: NOT CLIENT FACING AND SOLE PURPOSE FOR THIS IS TO EXECUTE A TAX STRATEGY.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-11
• S63 Uniform Securities Agent State Law Examination
  1991-02-26

Designations

• Certified Financial Planner

Other Names

• Neddie James
• Neddie Morrison