Jeffrey K. Talbott

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CRD#: 1749823

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.

Jeffrey Kim Talbott, who also goes by Jeff Talbott, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff Talbott

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 OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: SELLING LIFE INSURANCE; 2. NAME OF OTHER BUSINESS: THE OLIVE E. SMITH SCHOLARSHIP FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 5820 BEARCROFT CT VIRGINIA BEACH VA 23464, NATURE OF BUSINESS: SCOLARSHIP FOUNDATION, START DATE: 7/2001, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: CO-CHAIR, BRIEF DESCRIPTION OF DUTIES: MANAGE ASSETS & CHOOSE SCHOLARSHIP RECIPIENTS; 3. NAME OF OTHER BUSINESS: WEIR HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: WEIRTON, WV 26062; NATURE OF BUSINESS: SPEAKING; START DATE: 11/2018; POSITION/TITLE/RELATIONSHIP: SPEAKER; APX NUMBER OF HOURS PER WEEK: ONE TIME, TWO 10 MINUTE SESSIONS; APX NUMBER OF HOURS DURING TRADING HOURS: ONE TIME, TWO 10 MINUTE SESSIONS; BRIEF DESCRIPTION OF DUTIES: DISCUSS HOW ADVISORS USE MATH;

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

October 3, 2016 - December 31, 2023

CETERA ADVISORS LLC

RIA

CRD#: 10299

STEUBENVILLE, OH

Past

October 3, 2016 - December 31, 2023

CETERA ADVISORS LLC

CRD#: 10299

STEUBENVILLE, OH

Past

May 25, 2012 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

VIRGINIA BEACH, VA

Past

May 25, 2012 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

VIRGINIA BEACH, VA

Past

October 5, 2011 - May 25, 2012

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

GEORGETOWN, SC

Past

October 4, 2011 - May 25, 2012

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GEORGETOWN, SC

Past

October 12, 2010 - September 28, 2011

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

WINTERSVILLE, OH

Past

February 13, 2004 - September 28, 2011

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

June 4, 1997 - December 31, 2003

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 11, 1996 - May 16, 1997

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 15, 1995 - January 23, 1996

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

May 26, 1994 - January 9, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

February 16, 1994 - January 18, 1995

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

November 10, 1993 - February 18, 1994

ANDOVER SECURITIES, INC.

CRD#: 16903

KANSAS CITY, MO

Past

February 3, 1989 - November 5, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 3, 1989 - November 5, 1993

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 8, 1987 - January 15, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E 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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Jeffrey K. Talbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

MUTUAL SERVICE CORPORATION

LEGG MASON WOOD WALKER, INCORPORATED

THE ADVISORS GROUP, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATIONAL CITY INVESTMENTS CORPORATION

ANDOVER SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2008

Series 63

Date: 5/9/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/3/1994

Series 6

Date: 10/7/1987

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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