Damon Robert Bootes

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

• 10/2014 → 11/2017
  Waddell & Reed, Inc
  Louisville, KY
• 03/2015 → 11/2017
  Various Insurance Carriers For W & R Insurance Agencies
  Louisville, KY
• 11/2017 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 11/2017 → 11/2020
  First Allied Advisory Services, Inc
  San Diego, CA
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Louisville, KY
• 12/2022 → Present
  Clifford Bootes Asset Management
  Louisville, KY

Previous Registrations

• 2017-11-15 → 2020-11-12
  First Allied Advisory Services, Inc.
  Louisville, KY
  Louisville, KY
• 2015-02-11 → 2017-11-14
  Waddell & Reed
  Louisville, KY
  Charleroi, PA

Other Businesses

1. DR BOOTES TAX PREPARATION; INCOME TAX PREPARER; START DATE: 10/28/2017; 12 HOURS PER MONTH. 2. SAFETY CONSULTANT INLAND RIVER TRANSPORTATION; INDEPENDENT CONTRACTOR; START DATE 08/01/2018; 8 HOURS A MONTH. 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2024; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4. NAME OF OTHER BUSINESS: CLIFFORD BOOTES ASSET MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-06
• S63 Uniform Securities Agent State Law Examination
  2015-01-16