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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • OK RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

Edmond, OK • United States

12221 Merit Dr Ste 1760, Dallas, TX 75251 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bok Financial Securities, Inc. Oklahoma City OK 05/2015 04/2019
Bokf, Na Oklahoma City OK 05/2015 04/2019
Lpl Financial Llc Edmond OK 05/2019 11/2021
Internat'L Bank Of Commerce Ok Oklahooma City OK 05/2019 11/2021
Financial Vision Consulting, Llc Edmond OK 10/2021 Present
Cetera Wealth Services, Llc El Segundo CA 11/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 05/2015 → 04/2019
    Oklahoma City, OK
  • 05/2015 → 04/2019
    Bokf, Na
    Oklahoma City, OK
  • 05/2019 → 11/2021
    Edmond, OK
  • 05/2019 → 11/2021
    Internat'L Bank Of Commerce Ok
    Oklahooma City, OK
  • 10/2021 → Present
    Financial Vision Consulting, Llc
    Edmond, OK
  • 11/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
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: 05/2003 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, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: FINANCIAL VISION CONSULTING, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OFFER INSURANCE SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-02-06
S63 Uniform Securities Agent State Law Examination 2006-07-12
  • S65 Uniform Investment Adviser Law Examination
    2014-02-06
  • S63 Uniform Securities Agent State Law Examination
    2006-07-12
Other Names
  • Joey Hobbs

View on SEC IAPD

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