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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
TX RA APPROVED 2023-06-29
UT RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29
  • UT RA
    APPROVED
    Since 2023-06-29

Branch Locations

1361 N 1075 W Suite 15, Farmington, UT 84025 • 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
Kovack Securities, Inc. Ft. Lauderdale FL 01/2008 05/2022
R.K. Advisors Ft. Lauderdale FL 01/2008 05/2022
Unemployed Kaysville UT 05/2022 07/2022
Amazon Flex Kaysville UT 08/2022 08/2022
Unemployed Kaysville UT 09/2022 01/2023
Cetera Wealth Services, Llc El Segundo CA 01/2023 Present
Summit View Partners, Llc Farmington UT 02/2023 Present
Down'S Wealth Management, Llc Kaysville UT 02/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Peak Financial Network Solutions, Llc Murray UT 12/2024 Present
Kaizen Capital Llc Farmington UT 11/2024 Present
  • 01/2008 → 05/2022
    Kovack Securities, Inc.
    Ft. Lauderdale, FL
  • 01/2008 → 05/2022
    R.K. Advisors
    Ft. Lauderdale, FL
  • 05/2022 → 07/2022
    Unemployed
    Kaysville, UT
  • 08/2022 → 08/2022
    Amazon Flex
    Kaysville, UT
  • 09/2022 → 01/2023
    Unemployed
    Kaysville, UT
  • 01/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2023 → Present
    Summit View Partners, Llc
    Farmington, UT
  • 02/2023 → Present
    Down'S Wealth Management, Llc
    Kaysville, UT
  • 06/2023 → Present
    Schaumburg, IL
  • 12/2024 → Present
    Peak Financial Network Solutions, Llc
    Murray, UT
  • 11/2024 → Present
    Kaizen Capital Llc
    Farmington, UT
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: 03/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE 2.NAME OF OTHER BUSINESS: SUMMIT VIEW PARTNERS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2023, 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; 3.NAME OF OTHER BUSINESS: SUMMIT VIEW FINANCIAL, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2020, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4.NAME OF OTHER BUSINESS: DOWN'S WEALTH MANAGEMENT, LLC , INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT START DATE: 02/2023, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR BUSINESS EXPENSE MANAGEMENT; 5. NAME OF OTHER BUSINESS: JBJ HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE BUILDING; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING TO HOUSE FINANCIAL PLANNING BUSINESS; 6. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS, LLC, INVESTMENT RELATED: YES, ADDRESS: 114 W. WINCHESETER, MURRAY, UT 84107, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ENTITY THAT OVERSEES BROKERS/ADVISORS UNDER CETERA IN OUR REGION; 7. NAME OF OTHER BUSINESS: KAIZEN CAPITAL LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: HOLDING COMPANY, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ENTITY IS LLC TO HOLD OWNERSHIP SHARES OF PEAK FINANCIAL NETWORK SOLUTIONS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-29
S63 Uniform Securities Agent State Law Examination 2007-09-28
  • S66 Uniform Combined State Law Examination
    2007-12-29
  • S63 Uniform Securities Agent State Law Examination
    2007-09-28
Designations
Other Names
  • Darren Downs

View on SEC IAPD

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