Douglas Robert Filipovits

Current Employers

Employment History

• 11/2007 → Present
  Douglas Filipovits
  Kansas City, MO
• 07/2010 → Present
  Focused Asset Management, Llc
  Kansas City, MO
• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2022 → Present
  Focused Asset Management Dba Garrison&Associates/The Tax Shoppe
  Raytown, MO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 06/2024 → Present
  Indian Woods Middle School, Shawnee Mission School District
  Overland Park, KS

Previous Registrations

• 2008-06-04 → 2012-11-26
  Berthel, Fisher & Company Financial Services, Inc.
  Cedar Rapids, IA
  Leawood, KS
  Kansas City, MO
• 2006-06-15 → 2006-12-31
  Hsbc Securities (Usa) Inc.
  Bronxville, NY
  Rye, NY
  Mamaroneck, NY
  Mount Vernon, NY
• 2004-01-14 → 2006-02-01
  Chase Investment Services Corp.
  Bronx, 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: 10/24/2012 APPROX NUMBER OF HOURS PER WEEK: 2 APPROX NUMBER OF HOURS DURING TRADING HOURS: 1.625 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: COLLECTIVE WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: PARTNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: FOCUSED ASSET MANAGEMENT LLC; INVESTMENT RELATED: NO; ADDRESS: 5301 W 99TH STREET, OVERLAND PARK, KS 66207; NATURE OF BUSINESS: TAXABLE ENTITY; START DATE: 07/2014; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: RUN PAYROLL THROUGH LLC; 4. NAME OF OTHER BUSINESS: FOCUSED ASSET MANAGEMENT DBA GARRISON & ASSOCIATES/THE TAX SHOPPE; INVESTMENT RELATED: NO; ADDRESS: 5100 BLUE RIDGE BLVD, RAYTOWN, MO 64133; NATURE OF BUSINESS: TAX & ACCOUNTING SERVICES; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; BRIEF DESCRIPTION OF DUTIES: MANAGE TAX & ACCOUNTING BUSINESS/OFFICE, PREPARING SOME TAX RETURNS; 5. NAME OF OTHER BUSINESS: INDIAN WOODS MIDDLE SCHOOL, SHAWNEE MISSION SCHOOL DISTRICT, INVESTMENT RELATED: NO, ADDRESS: 9700 WOODSON DR, OVERLAND PARK, KS 66207, NATURE OF BUSINESS: EDUCATION, START DATE: 06/2024, POSITION/TITLE/RELATIONSHIP: FOOTBALL COACH, DEFENSIVE COORDINATOR, APX NUMBER OF HOURS PER WEEK: 10, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COACH MIDDLE SCHOOL FOOTBALL;

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-01-10
• S63 Uniform Securities Agent State Law Examination
  2002-11-23

Designations

Other Names

• Robert Douglas Filipovits