TF
Timothy R. Farris
CETERA INVESTMENT ADVISERS LLC
WEST BLOOMFIELD, MI 48322
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CRD#: 2178521
TF
Professional summary
Timothy Richard Farris is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Bloomfield, Michigan and CETERA ADVISORS LLC located in West Bloomfield, Michigan.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Timothy has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 9, Series 10, Series 24 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2021 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES; 2. NAME OF OTHER BUSINESS: WEST BLOOMFIELD CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 5745 W MAPLE RD SUITE 206 WEST BLOOMFIELD, MI 48322; NATURE OF BUSINESS NON PROFIT; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: CONNECT FOR NETWORKING MEETINGS AND LUNCHEONS, HELP COORDINATE VARIOUS ACTIVITIES; 3. APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: HELP CURATE MOVIES, WORK TO IMPROVE THE THEATRE, ORGANIZE SOCIAL EVENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Richard Farris'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7125 Orchard Lake Road Suite 304, West Bloomfield, MI 48322RIA
CRD#: 105644
WEST BLOOMFIELD, MI
Current
December 16, 2021 - Present
CETERA ADVISORS LLC
Office #1: 7125 Orchard Lake Road Suite 304, West Bloomfield, MI 48322BD
CRD#: 10299
West Bloomfield, MI
Past
December 16, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
WEST BLOOMFIELD, MI
Past
November 15, 2021 - December 17, 2021
SPC
RIA
CRD#: 110692
West Bloomfield, MI
Past
May 15, 2015 - December 17, 2021
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
West Bloomfield, MI
Past
October 5, 2009 - May 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NORTHVILLE, MI
Past
October 5, 2009 - May 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NORTHVILLE, MI
Past
August 1, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
WEST BLOOMFIELD, MI
Past
April 28, 1993 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
WEST BLOOMFIELD, MI
Past
October 10, 1991 - December 18, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 10, 1991 - December 18, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Maryland(6/28/2023)
RR
Michigan(12/16/2021)
IAR
Michigan(3/21/2024)
RR
North Carolina(5/22/2023)
RR
Wisconsin(12/16/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
