Jack B. Cima
Professional summary
Jack Brock Cima is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Escondido, California and CETERA WEALTH SERVICES, LLC located in Escondido, California.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Jack has worked at 8 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jack Brock Cima's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 144 South Grape St, Escondido, CA 92025June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 25, 2015 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
December 4, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 1, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 28, 2000 - September 9, 2020
NYLIFE DISTRIBUTORS LLC
November 29, 1995 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
October 1, 1985 - November 22, 1995
MML INVESTORS SERVICES, LLC
March 11, 1982 - October 3, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2021)
(6/9/2021)
(6/29/2023)
(6/9/2021)
(6/10/2021)
(10/4/2023)
(8/1/2023)
(6/9/2021)
(6/29/2023)
(6/9/2021)
(8/1/2023)
Exams
Series 22TO
Date: 3/14/2024
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 3/14/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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