Howard Corey Hertz

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:

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-05-28
TX	RA	APPROVED	2021-05-28

CA RA
APPROVED

Since 2021-05-28
TX RA
APPROVED

Since 2021-05-28

Branch Locations

5506 Sunol Blvd Suite 100, Pleasanton, CA 94566 • United States

Francis, UT • 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

Organization	City	State	From	To
Howard Hertz Enrolled Agent	Pleasanton	CA	06/1995	Present
Avantax Investment Services, Inc.	Pleasanton	CA	09/1998	05/2021
Avantax Insurance Agency, Llc	Pleasanton	CA	08/2017	05/2021
Tri-Valley Tax & Financial Services, Inc	Heber City	UT	08/2019	Present
Cetera Financial Specialists Llc	Schaumburg	IL	05/2021	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/2021	Present
Cfs Income Tax	Simi Valley	CA	07/1995	Present
Tri-Valley Funding & Realty	Pleasanton	CA	01/2004	Present

06/1995 → Present

Howard Hertz Enrolled Agent

Pleasanton, CA
09/1998 → 05/2021

Avantax Investment Services, Inc.

Pleasanton, CA
08/2017 → 05/2021

Avantax Insurance Agency, Llc

Pleasanton, CA
08/2019 → Present

Tri-Valley Tax & Financial Services, Inc

Heber City, UT
05/2021 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/2021 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
07/1995 → Present

Cfs Income Tax

Simi Valley, CA
01/2004 → Present

Tri-Valley Funding & Realty

Pleasanton, CA

Previous Registrations

1999-12-30 → 2021-06-04

Avantax Advisory Services

Pleasanton, CA

Francis, UT

Pleasanton, CA

Other Businesses

1) TRI-VALLEY TAX & FINANCIAL SERVICES; HEBER CITY, UT & PLEASANTON, CA; INVESTMENT RELATED; ACCOUNTING/TAX/FINANCIAL SERVICES; OWNER; PRESIDENT; ENROLLED AGENT; SINCE 06/1995; 160 HOURS/MO 2) CFS INCOME TAX; SIMI VALLEY, CA; NON-INVESTMENT RELATED; TAX SOFTWARE SALES REPRESENTATIVE; SINCE 07/1995; 8 HRS/MO 3) TRI-VALLEY FUNDING & REALTY; PLEASANTON, CA; NON-INVESTMENT RELATED; REAL ESTATE/MORTGAGE/TITLE SERVICES; SINCE 01/2004; 1 HR/MO 4) TAX SAVER REAL ESTATE 1 LLC; HEBER CITY, UT; NON-INVESTMENT RELATED; RENTAL PROPERTY/REAL ESTATE; OWNER; SINCE 06/2020 12 HRS/MO 5) TAX SAVER REAL ESTATE 2 LLC; HEBER CITY, UT; NON-INVESTMENT RELATED; RENTAL PROPERTY/REAL ESTATE; OWNER; SINCE 06/2020 8 HRS/MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-09
S63	Uniform Securities Agent State Law Examination	1998-12-07

S65 Uniform Investment Adviser Law Examination

1999-07-09
S63 Uniform Securities Agent State Law Examination

1998-12-07

Designations

Certified Financial Planner

Other Names

Howard Corey Hertz

View on SEC IAPD