Deron D. Florey

CETERA INVESTMENT ADVISERS LLC

PHOENIX, AZ 85016

Some features on this profile are disabled

CRD#: 2163653

Professional summary

Deron Don Florey, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.

Deron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Deron has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 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)FLOREY CAPITAL MANAGEMENT LLC, DBA FOR CETERA BUSINESS, 100% OWNER, 40/HRS/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deron Don Florey'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

May 2, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1702 E Highland Ave Suite 204, Phoenix, AZ 85016

RIA

CRD#: 105644

PHOENIX, AZ

Current

May 2, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016

CRD#: 15340

Phoenix, AZ

Past

January 3, 2012 - May 11, 2022

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

PHOENIX, AZ

Past

February 19, 2009 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

February 9, 2009 - May 11, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

January 28, 1998 - April 17, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

December 2, 1992 - May 13, 1996

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 31, 1991 - August 7, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 31, 1991 - August 7, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(5/2/2022)

IAR

Arizona
(5/4/2022)

California
(5/2/2022)

Texas
(5/2/2022)

IAR

Texas
(5/2/2022)

Utah
(5/2/2022)

Washington
(5/2/2022)

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 66

Date: 2/13/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/1991

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: 2/5/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/15/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/19/2012

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 7/11/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Deron D. Florey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deron Don Florey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2009

Series 63

Date: 8/15/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/5/2009

Series 10

Date: 4/15/2013

Series 9

Date: 10/19/2012

Series 8

Date: 7/11/1994

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

Similar Advisors