Tipton W. Huffman

CETERA INVESTMENT ADVISERS LLC

CORONA, CA 92879

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CRD#: 1864075

Professional summary

Tipton Wayne Huffman, who also goes by Tip Huffman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Corona, California and CETERA ADVISORS LLC located in Corona, California.

Tipton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Tipton has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tip Huffman

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 REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/02/2016; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES, AND LONG TERM CARE; (2) NAME OF OTHER BUSINESS: TWH1 INVESTMENT RELATED: NO ADDRESS: 650 E. PARKRIDGE SUITE 112, CORONA, CA, 92879, NATURE OF BUSINESS: S CORPORATION START DATE: 03/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: TAX REPORTING PURPOSES ONLY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tipton Wayne Huffman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 650 E Parkridge Ste 112, Corona, CA 92879

RIA

CRD#: 105644

CORONA, CA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 650 E Parkridge Ste 112, Corona, CA 92879

CRD#: 10299

Corona, CA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 10, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

ANAHEIM, CA

Past

June 21, 1999 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

ANAHEIM, CA

Past

April 10, 1996 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

ANAHEIM, CA

Past

June 22, 1995 - April 10, 1996

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

September 23, 1988 - July 15, 1993

UNITED PACIFIC FINANCIAL SERVICES, INC.

CRD#: 21632

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/3/2016)

California
(10/3/2016)

IAR

California
(3/21/2024)

Maryland
(9/14/2021)

Montana
(6/21/2018)

North Carolina
(6/17/2025)

Oregon
(10/3/2016)

South Dakota
(8/3/2020)

Texas
(4/27/2020)

IAR

Texas
(3/21/2024)

Washington
(1/23/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1996

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: 5/21/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/18/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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
11/18/2022	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Tipton W. Huffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tipton Wayne Huffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

AFD, INC.

UNITED PACIFIC FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 2/7/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1998

Series 6

Date: 9/22/1988

Series 24

Date: 9/8/1998

Series 26

Date: 9/18/1996

FINRA

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

Contact information

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