Joshua Awuma

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2006 → Present
  Barneys Beanery
  Pasadena, CA
• 02/2015 → 11/2016
  Sagepoint Financial
  South Pasadena, CA
• 01/2017 → 09/2025
  Avantax Investment Services, Inc.
  Alhambra, CA
• 01/2017 → 09/2025
  Avantax Insurance Agency, Llc
  Alhambra, CA
• 07/2021 → 09/2025
  Avantax Advisory Services
  Alhambra, CA
• 09/2021 → Present
  Awuma Capital Management Llc
  Alhambra, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Alhambra, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-07-16 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Alhambra, CA

Other Businesses

1) Barneys's Beanery~'NIR'~99 E Colorado Blvd~Pasadena~CA~91105~Other~Other~5/1/2006~100hrs~8hrs~I Manage the restaurant in Pasadena For Barney's Beanery 2) AWUMA CAPITAL MANAGEMENT LLC POSITION: owner NATURE: Offering and selling Financial Services to clientsthrough investments and retirement solutions. Such as mutual funds, college saving plans, annuities and life insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 09/27/2021 ADDRESS: 334 North Monterey Street, #E, Alhambra CA 91801, DESCRIPTION: My duties and responsibilities are reviewing clients portfolios, prospecting for new clients, meeting with new and existing clients.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-07-08
• S63 Uniform Securities Agent State Law Examination
  2015-04-27

Other Names

• Joshua Kwasi Awuma