Timothy Richard Farris

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

• 05/2015 → 12/2021
  Sigma Financial Corporation
  Ann Arbor, MI
• 12/2021 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-11-15 → 2021-12-17
  Spc
  West Bloomfield, MI
• 2009-10-05 → 2015-05-28
  Ameriprise Financial Services, Llc
  Farmington Hills, MI
  Northville, MI
  Livonia, MI
• 2007-08-01 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Bloomfield Hills, MI
  West Bloomfield, MI

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: 12/2021 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES; 2. NAME OF OTHER BUSINESS: WEST BLOOMFIELD CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 5745 W MAPLE RD SUITE 206 WEST BLOOMFIELD, MI 48322; NATURE OF BUSINESS NON PROFIT; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: CONNECT FOR NETWORKING MEETINGS AND LUNCHEONS, HELP COORDINATE VARIOUS ACTIVITIES; 3. APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: HELP CURATE MOVIES, WORK TO IMPROVE THE THEATRE, ORGANIZE SOCIAL EVENTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-10-25
• S66 Uniform Combined State Law Examination
  2007-07-31
• S63 Uniform Securities Agent State Law Examination
  1991-10-15