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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

Dallas, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Five Star Advisor Partners, Llc Richardson TX 04/2013 Present
Avantax Investment Services, Inc. Richardson TX 04/2013 09/2025
Avantax Insurance Agency, Llc Richardson TX 04/2013 09/2025
Avantax Advisory Services Richardson TX 05/2013 09/2025
Cetera Wealth Services, Llc Richardson TX 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 04/2013 → Present
    Five Star Advisor Partners, Llc
    Richardson, TX
  • 04/2013 → 09/2025
    Avantax Investment Services, Inc.
    Richardson, TX
  • 04/2013 → 09/2025
    Avantax Insurance Agency, Llc
    Richardson, TX
  • 05/2013 → 09/2025
    Avantax Advisory Services
    Richardson, TX
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Richardson, TX
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2013-05-23 → 2025-09-05
    Avantax Advisory Services
    Dallas, TX
Other Businesses

1) YMCA Camp Grady Suruce Board of Management; Non-investment related; 9409 Garland Road, Suite #200~Dallas, TX 75218; Other; Member of the Board of Directors; 8/29/2014; 10hrs; 2hrs; I am a volunteer that helps the 501c3 review the budgets, and assists with marketing/promotion and staff training. 2) FIVE STAR ADVISOR PARTNERS, LLC POSITION: Partner/Owner NATURE: LLC created for Avantax business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2013 ADDRESS: 100 N. Central Expy, Suite 1205, Richardson TX 75080, United States DESCRIPTION: LLC created for Avantax business 3) JOSEPH HANCOCK TAX AND FINANCIAL SERVICE POSITION: Enrolled Agent, Tax Professional NATURE: Joseph Hancock Tax and Financial Service prepares and files tax returns for individuals and businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 04/01/2013 ADDRESS: 100 North Central Expressway, Suite 1205, Richardson TX 75080, United States DESCRIPTION: I prepare tax returns for filing.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-12-14
  • S63 Uniform Securities Agent State Law Examination
    2006-12-14
Designations

View on SEC IAPD

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