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Tonya Stockton

Cetera Investment Advisers LLC

Phoenix, AZ

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-09-04
  • AZ RA
    APPROVED
    Since 2024-09-04

Branch Locations

1702 E. Highland Ave Suite 204, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Empower Retirement Columbus OH 05/2004 02/2021
Unemployed Columbus OH 03/2021 08/2022
Assetmark Financial Holdings, Inc. Phoenix AZ 08/2022 02/2024
Assetmark Brokerage, Llc Phoenix AZ 08/2022 02/2024
Unemployed Waddell AZ 03/2024 07/2024
Cetera Investment Services Llc Saint Cloud MN 08/2024 Present
Cetera Investment Advisers Llc Phoenix AZ 08/2024 Present
  • 05/2004 → 02/2021
    Empower Retirement
    Columbus, OH
  • 03/2021 → 08/2022
    Unemployed
    Columbus, OH
  • 08/2022 → 02/2024
    Assetmark Financial Holdings, Inc.
    Phoenix, AZ
  • 08/2022 → 02/2024
    Assetmark Brokerage, Llc
    Phoenix, AZ
  • 03/2024 → 07/2024
    Unemployed
    Waddell, AZ
  • 08/2024 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2024 → Present
    Cetera Investment Advisers Llc
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-19
S63 Uniform Securities Agent State Law Examination 2006-10-26
  • S65 Uniform Investment Adviser Law Examination
    2016-12-19
  • S63 Uniform Securities Agent State Law Examination
    2006-10-26
Other Names
  • Tonya Marie Goch
  • Tonya Marie Stockton

View on SEC IAPD

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