Keith A. Hooper

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CRD#: 2110329

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.

Keith Albert Hooper, who also goes by Keith A Hooper, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1990. Keith had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith A Hooper

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.

NAME OF ENTITY:Financial Independence Planning, LLC; Yes; 1495 ALAN WOOD RD STE 100; CONSHOHOCKEN; PA; 19428; FINANCIAL SERVICES/DBA; Financial Advisor; 1/1/2016; 134; 100; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1495 ALAN WOOD RD STE 100; CONSHOHOCKEN; PA; 19428; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/10/2000; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:FBS Real Estate Holdings 1, LLC; Yes; 1004 W 9th Ave #220; King of Prussia; PA; 19406; commercial real estate; Limited Partner; 11/1/2019; 2; 0; limited partner|

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

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LANSDALE, PA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LANSDALE, PA

Past

June 9, 2021 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LANSDALE, PA

Past

September 6, 2005 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CONSHOHOCKEN, PA

Past

January 1, 2004 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CONSHOHOCKEN, PA

Past

May 10, 2000 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 31, 1995 - May 1, 2000

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

August 27, 1994 - March 31, 1995

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

December 3, 1990 - July 28, 1994

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/28/1990

Investment Company Products/Variable Contracts Representative Examination

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.

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Keith A. Hooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

UNITED SECURITIES ALLIANCE, INC.

SENTRA SECURITIES CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2005

Series 63

Date: 11/27/1990

SIE

Date: 10/1/2018

Series 6

Date: 11/28/1990

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

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