Jeffrey A. Cardwell
Professional summary
Jeffrey Alan Cardwell, CPWA® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Cardwell's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020-12-21
Expire date: 2024-11-30
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8 Green Way Plaza Ste 1350, Houston, TX 77046January 5, 1999 - Present
CETERA ADVISORS LLC
Office #1: 10200 Richmond Ave Ste 252, Houston, TX 77042January 5, 1999 - March 21, 2024
CETERA ADVISORS LLC
April 15, 1987 - December 31, 1998
CINCINNATI ANALYSTS, INC.
December 17, 1985 - April 15, 1987
LPL FINANCIAL LLC
July 21, 1983 - November 18, 1985
MACGREGOR FINANCIAL SECURITIES, INC.
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
(1/4/2010)
(1/4/2012)
(8/29/2001)
(1/2/2004)
(8/19/2011)
(9/25/2003)
(1/18/2008)
(3/4/2008)
(11/16/2009)
(8/31/2012)
(1/2/2009)
(8/19/2011)
(1/18/2008)
(1/2/2024)
(8/19/2011)
(1/4/2023)
(9/30/2008)
(1/5/2009)
(2/4/2022)
(8/18/2006)
(3/7/2024)
(1/2/2004)
(4/15/2014)
(1/2/2014)
(1/5/1999)
(3/21/2024)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities 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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