Jack B. Cima

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CRD#: 1023079

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jack Brock Cima was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 1982. Jack had 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

Are you a "fiduciary"?

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: independent insurance agent; Yes; 3317 Avenida Sierra; Esondido; CA; 92029; fixed insurance sales; independent insurance agent; 5/28/2009; 1; 1; sales of fixed insurance products 2. NAME OF ENTITY: Southwest Financial Group; Yes; 3317 Avenida Sierra; Escondido; CA; 92029; FINANCIAL SERVICES; owner; 1/1/1981; 10; 10; SERVICE EXITING SECURITIES CLIENTS ONLY 3, prepare tax returns for Family members ONLY.; 4. NAME OF OTHER BUSINESS: FINRA ; INVESTMENT RELATED: YES; ADDRESS: 200 LIBERTY STREET 11TH FLOOR NEW YORK, NY 10281; NATURE OF BUSINESS: ARBITRATOR; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: FINRA ARBITRATOR; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE TESTIMONY IN A DISPUTE RESOLUTION HEARING;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - January 2, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ESCONDIDO, CA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ESCONDIDO, CA

Past

June 9, 2021 - January 2, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ESCONDIDO, CA

Past

November 25, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ESCONDIDO, CA

Past

January 1, 2004 - December 31, 2013

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ESCONDIDO, CA

Past

January 1, 2004 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ESCONDIDO, CA

Past

December 4, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

SAN DIEGO, CA

Past

January 1, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 28, 2000 - September 9, 2020

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

November 29, 1995 - January 1, 2002

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

October 1, 1985 - November 22, 1995

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 11, 1982 - October 3, 1985

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 3/14/2024

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/14/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/20/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/1/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Jack B. Cima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

NYLIFE DISTRIBUTORS LLC

BMA FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/1999

Series 63

Date: 6/22/1993

Series 22TO

Date: 3/14/2024

Series 6TO

Date: 3/14/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 22

Date: 8/20/1982

Series 6

Date: 3/1/1982

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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