Colleen Tobey

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

• 10/2015 → Present
  Cetera Advisors Llc
  Denver, CO
• 11/2020 → 12/2024
  Capital Growth & Shelter Inc.
  Scotia, NY
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2025 → 12/2025
  Kl Hooker Management Corp Dba Capital Growth & Shelter
  Ballston Spa, NY
• 01/2025 → 12/2025
  Klh Management
  Ballston Spa, NY

Previous Registrations

• 2021-10-12 → 2024-10-04
  Capital Growth & Shelter, Inc.
  Gansevoort, NY
  Ballston Spa, NY

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: 6/2022 ; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG-TERM CARE;

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-09-29
• S63 Uniform Securities Agent State Law Examination
  2016-04-22

Other Names

• Colleen M Johnson