JS
Jared L. Simon
CETERA INVESTMENT ADVISERS LLC
ARLINGTON HTS, IL 60004
Some features on this profile are disabled
CRD#: 2153333
JS
Professional summary
Jared Louis Simon, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Arlington Hts, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Arlington Heights, Illinois.
Jared is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jared has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) RJ SIMON, LLC; NOT INV REL; CERTIFIED PUBLIC ACCOUNTING FIRM PROVIDING TAX & ACCOUNTING SERVICES TO INDIVIDUALS & BUSINESSES; OWNER/MANAGER SINCE 11/01; DUTIES: MANAGE ACCOUNTING FIRM, PERFORM ACCOUNTING & TAX SERVICES; WORK 50-60 HRS/WK; PARTNER: RONALD SIMON. 2) RJS FINANCIAL MANAGEMENT, LTD, DBA NAME FOR INVESTMENT PRACTICE- INV RELATED:
CRS (Client Relationship Summary) - RIA
Click below to view Jared Louis Simon's 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®
CFP®
Start date: 2001
Experience
Current
July 2, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1655 N. Arlington Heights Suite 306 West, Arlington Hts, IL 60004RIA
CRD#: 105644
ARLINGTON HTS, IL
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1655 North Arlington Heights Suite 306 West, Arlington Heights, IL 60004BD
CRD#: 10358
Arlington Heights, IL
Past
February 20, 2001 - July 2, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
ARLINGTON HEIGHTS, IL
Past
July 8, 1991 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(6/30/2004)
RR
California(6/30/2004)
RR
Colorado(12/1/2017)
RR
Florida(7/6/2004)
RR
Illinois(6/30/2004)
IAR
Illinois(7/2/2004)
RR
Indiana(2/28/2006)
RR
Missouri(10/28/2015)
RR
New Mexico(8/12/2015)
RR
New York(6/30/2004)
RR
North Carolina(10/28/2015)
RR
Ohio(1/3/2017)
RR
Texas(10/28/2015)
IAR
Texas(2/27/2023)
RR
Wisconsin(1/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 11/18/2022 |
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.
