Janet L. Hokaj
Professional summary
Janet Lee Hokaj, who also goes by Janet Lee Cumpston, Janet Lee Hokaj, Janet Lee Reid, Janet Lee Cumpston Reid, Janet Lee Stroud, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Janet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Janet has worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Janet Lee Hokaj's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
May 12, 2025 - Present
CETERA WEALTH SERVICES, LLC
June 2, 2014 - May 21, 2025
LPL FINANCIAL LLC
June 2, 2014 - May 21, 2025
LPL FINANCIAL LLC
September 9, 2013 - May 9, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 6, 2013 - May 9, 2014
BBVA SECURITIES INC.
February 20, 2013 - July 3, 2013
J.P. MORGAN SECURITIES LLC
February 14, 2013 - July 3, 2013
J.P. MORGAN SECURITIES LLC
September 8, 2010 - August 20, 2012
RAYMOND JAMES & ASSOCIATES, INC.
August 10, 2010 - August 20, 2012
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 1998 - July 1, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 14, 1993 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
January 27, 1992 - November 6, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1989 - March 13, 1990
TRI-BRADLEY INVESTMENTS
July 11, 1989 - December 2, 1989
THE OXFORD GROUP, INC.
February 17, 1989 - August 29, 1989
TRI-BRADLEY INVESTMENTS
May 27, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
February 10, 1988 - April 26, 1988
CENTRAL DISCOUNT STOCKBROKERS, INC.
January 19, 1988 - February 1, 1988
SECURITIES USA, 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
(5/12/2025)
(5/13/2025)
(5/13/2025)
(5/21/2025)
(5/12/2025)
(5/12/2025)
Exams
FINRA
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 |
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.
