Shannon Lee Hotchkiss

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

• 09/2002 → 09/2025
  Avantax Investment Securities, Inc.
  Enfield, CT
• 09/2002 → Present
  Rubman & Associates
  Enfield , CT
• 09/2024 → 09/2025
  Avantax Advisory Services
  Enfield, CT
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Enfield, CT
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-11-15 → 2025-09-05
  Avantax Advisory Services
  Enfield, CT

Other Businesses

Rubman & Associates~'NIR'~639 Enfield Street~Enfield~CT~06082~Tax Preparation/Accounting~Other~11/22/2002~80hrs~130hrs~assistant|Innovest Financial Services~'NIR'~639 Enfield Street~Enfield~CT~06082~Tax Preparation/Accounting~Employee~9/16/2004~80hrs~130hrs~tax preperation, clerical duties|

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-11-15
• S63 Uniform Securities Agent State Law Examination
  2002-11-14