KH
Kirk H. Haworth
CETERA INVESTMENT ADVISERS LLC
AMARILLO, TX 79106
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CRD#: 1016288
KH
Professional summary
Kirk Howard Haworth is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Amarillo, Texas and CETERA WEALTH SERVICES, LLC located in Amarillo, Texas.
Kirk is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kirk has worked at 11 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF ENTITY:MERCY COURT PROPERTY; No; 6109 MERCY CT; AMARILLO; TX; 79118; RENTAL PROPERTY; CO-OWENR; 3/1/2013; 6; 1; MANAGE AND MAINTAIN PROPERTY 2. NAME OF OTHER BUSINESS: AMYX INVESTMENTS INVESTMENT RELATED: NO ADDRESS: 432 N DALLAS VAN ALSTYNE, TX 75495 NATURE OF BUSINESS: RESIDENTIAL REAL ESTATE START DATE: 05/01/2007 POSITION/TITLE/RELATIONSHIP: PROPERTY MANAGER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: WORK ON UPDATES AND REPAIRS TO PROPERTY, MANAGE CONTRACTORS AND COMPLETE RENTAL CONTRACTS 3. NAME OF ENTITY:The Haworth Company; Yes; 6900 I-40 WEST SUITE 160; AMARILLO; TX; 79159; Financial Services; Owner; 1/1/1985; 160; 160; Financial & Investment Sales 4. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 6900 I-40 WEST SUITE 160; AMARILLO; TX; 79159; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/22/2013; 160; 160; SALE FIXED INSURANCE PRODUCTS 5. NAME OF ENTITY:Life Settlements; No; 6900 I-40 West, Suite 160; Amarillo; TX; 79106; Life Settlements; Insurance Agent; 5/6/2019; 6; 6; Life Settlement Broker 6. NAME OF OTHER BUSINESS: AMYX PROPERTIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RESIDENTIAL REAL ESTATE START DATE: 10/2024 POSITION/TITLE/RELATIONSHIP: OWNER/PROPERTY MANAGER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: WORK ON UPDATES AND REPAIRS TO PROPERTY, MANAGE CONTRACTORS AND COMPLETE RENTAL CONTRACTS 7. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 09/2023; 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 SETTLEMENTS THROUGH WELCOME FUNDS, INC.; 8. NAME OF OTHER BUSINESS: KIRK HAWORTH. INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACTING; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ACTING, MOVIES, TV, PLAYS, CHURCH PRODUCTION;
CRS (Client Relationship Summary) - RIA
Click below to view Kirk Howard Haworth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6900 I-40 West Suite 160, Amarillo, TX 79106RIA
CRD#: 105644
AMARILLO, TX
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6900 I-40 West Suite 160, Amarillo, TX 79106BD
CRD#: 13572
Amarillo, TX
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 26, 2009 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
AMARILLO, TX
Past
July 27, 1999 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
AMARILLO, TX
Past
March 1, 1999 - June 25, 1999
CARDINAL INVESTMENTS, INC.
BD
CRD#: 36838
COLUMBIA, IL
Past
April 28, 1998 - January 4, 1999
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
February 6, 1995 - May 4, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 29, 1993 - November 15, 1994
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 6, 1993 - November 29, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
January 18, 1989 - December 31, 1992
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
July 3, 1986 - December 31, 1988
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
Past
August 12, 1983 - March 12, 1987
TIERRA CAPITAL CORPORATION
BD
CRD#: 10109
Past
April 8, 1982 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
BD
CRD#: 3461
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Georgia(6/25/2024)
RR
Minnesota(6/9/2021)
RR
New Mexico(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
