Kathleen A. Vancuren
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.
Kathleen Annette Vancuren, who also goes by Kathleen Annette Jackson, Kathy Jackson, Kathy Vancuren, Kathy Ann Wilson, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1990. Kathleen had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - May 8, 2025
CETERA INVESTMENT ADVISERS LLC
April 24, 2023 - May 8, 2025
CETERA WEALTH SERVICES, LLC
April 21, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 13, 2018 - July 19, 2021
ARVEST WEALTH MANAGEMENT
October 16, 2018 - July 19, 2021
ARVEST WEALTH MANAGEMENT
August 15, 2013 - September 25, 2018
BOK FINANCIAL SECURITIES, INC.
September 17, 2008 - December 8, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 6, 2007 - September 3, 2008
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
May 15, 2007 - September 3, 2008
FIRST SOUTHWEST COMPANY, LLC
April 5, 2005 - April 11, 2006
INVESMART ADVISORS INC
February 11, 2005 - April 11, 2006
INVESMART SECURITIES, LLC
October 22, 1993 - January 31, 2005
CHARLES SCHWAB & CO., INC.
October 19, 1993 - January 31, 2005
CHARLES SCHWAB & CO., INC.
May 18, 1993 - December 16, 1993
CULLUM & SANDOW SECURITIES, INC.
March 20, 1990 - June 17, 1991
MORGAN STANLEY DW 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
Exams
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.
