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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
TX RA APPROVED 2025-09-05
  • TX RA
    APPROVED
    Since 2025-09-05

Branch Locations

1220 Stonehollow Drive, Kingwood, TX 77339 • 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
Price & Price, Cpa Kingwood TX 01/1985 Present
1St Global Capital Corp. Kingwood TX 12/1997 10/2019
1St Global Advisors, Inc. Kingwood TX 02/1999 10/2019
Avantax Insurance Services, Inc. Kingwood TX 09/2005 09/2025
Avantax Advisory Services Kingwood TX 10/2019 09/2025
Avantax Investment Services, Inc. Kingwood TX 10/2019 09/2025
Fmw Wealth Management, Llc, Whiddon Harkey Group Beaumont TX 10/2023 Present
Indexed Annuities Kingwood TX 03/2025 Present
Cetera Wealth Services, Llc Kingwood TX 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 01/1985 → Present
    Price & Price, Cpa
    Kingwood, TX
  • 12/1997 → 10/2019
    1St Global Capital Corp.
    Kingwood, TX
  • 02/1999 → 10/2019
    1St Global Advisors, Inc.
    Kingwood, TX
  • 09/2005 → 09/2025
    Avantax Insurance Services, Inc.
    Kingwood, TX
  • 10/2019 → 09/2025
    Avantax Advisory Services
    Kingwood, TX
  • 10/2019 → 09/2025
    Avantax Investment Services, Inc.
    Kingwood, TX
  • 10/2023 → Present
    Fmw Wealth Management, Llc, Whiddon Harkey Group
    Beaumont, TX
  • 03/2025 → Present
    Indexed Annuities
    Kingwood, TX
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Kingwood, TX
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-10-25 → 2025-09-05
    Avantax Advisory Services
    Kingwood, TX
  • 1999-05-11 → 2019-10-25
    1St Global Advisors Inc
    Kingwood, TX
Other Businesses

1) 220 STONEHOLLOW, LLC POSITION: MEMBER NATURE: REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2003 ADDRESS: 1220 STONEHOLLOW DRIVE, Kingwood TX 77339, DESCRIPTION: 100%OF THE BUILDING IS OWNED BY 1220 STONEHOLLOW, LLC, AND ADVISOR OWNS 100% OF LLC. NO LONGER RENTED OUT TO THIRD PARTY AND IS OCCUPIED 100% BY PRICE & PRICE, CPA'S. 2) PRICE & PRICE, CPA POSITION: OTHER - PARTNER NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 01/01/1985 Address: DESCRIPTION: null 3) FMW WEALTH MANAGEMENT, LLC, WHIDDON HARKEY GROUP POSITION: Financial Advisor NATURE: This is just the name of the advisors that is above the approved name of FMW Wealth Management LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2023 ADDRESS: 1150 N 11th St, Beaumont TX 77702, United States DESCRIPTION: None 4)PRICE & PRICE, CPA; OTHER - PARTNER; NIR; 01/01/1985;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-04
S63 Uniform Securities Agent State Law Examination 1998-08-04
  • S65 Uniform Investment Adviser Law Examination
    1999-02-04
  • S63 Uniform Securities Agent State Law Examination
    1998-08-04
Designations

View on SEC IAPD

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