Best Investors Account Sign in
Current Employers
Jmb Financial Managers, Inc.

6 Hutton Centre Drive Suite 1280, Santa Ana, CA 92707 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-30
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2025-05-30
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

6 Hutton Centre Drive Suite 1280, Santa Ana, CA 92707 • United States

Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • CA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707 • 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
Jmb Financial Managers, Inc. Irvine CA 10/1992 Present
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1) NAME OF OTHER BUSINESS: JMB FINANCIAL MANAGERS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS START DATE: 1997 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: PROVIDE WRITTEN PLANS FOR FIXED FEE OR HOURLY RATE| 2)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITIES, & LONG TERM CARE| 3) NAME OF OTHER BUSINESS: LIFE LOCK BENEFIT SOLUTIONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: IDENTITY THEFT PROTECTION SERVICES START DATE: 2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: SALES REP, BRIEF DESCRIPTION OF DUTIES: SALES| 4. NAME OF OTHER BUSINESS: ST. CECICLIA CHURCH PARICH FINANCE COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 1301 S SYCAMORE AVE, TUSTIN, CA 92780; NATURE OF BUSINESS: BOARD; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REVIEW INFORMATION PROVIDED BY THE CHURCH BOOKKEEPER, ACCOUNTANT, & MAKE RECOMMENDATIONS TO CHURCH PASTOR;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-01-30
  • S63 Uniform Securities Agent State Law Examination
    1991-01-30
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Santa Ana, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor