JH
Jennifer K. Hicks
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80918
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CRD#: 2354720
JH
Professional summary
Jennifer Kay Hicks, AIF®, CFP®, who also goes by Jennifer Kay Allison, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA ADVISORS LLC located in Colorado Springs, Colorado.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jennifer has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennifer Kay Allison
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. IRM SOLUTIONS DBA: PURPOSE PLANNING INC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, SECURITIES AND FINANCIAL SERVICES, START 05/1998, 40 HR/WK DURING TRADING HOURS, FINANCIAL PROFESSIONAL. 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 2008, 1HR/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT SELLS LIFE, ANNUITIES AND LONG TERM CARE.
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Kay Hicks'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: 1997
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1980 Dominion Way Suite 101, Colorado Springs, CO 80918Office #2: 8035 Bannock Dr, Larkspur, CO 80118RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 1980 Dominion Way Suite 101, Colorado Springs, CO 80918BD
CRD#: 10299
Colorado Springs, CO
Past
June 30, 2009 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
COLORADO SPRINGS, CO
Past
January 1, 2004 - June 29, 2009
CETERA ADVISORS LLC
RIA
CRD#: 10299
COLORADO SPRINGS, CO
Past
October 26, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
KANSAS CITY, MS
Past
March 3, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
May 19, 1998 - March 3, 1999
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
July 7, 1997 - May 6, 1998
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Alabama(1/4/2016)
RR
Arizona(7/14/2009)
RR
Arkansas(1/2/2008)
RR
California(1/1/2004)
RR
Colorado(1/1/2004)
IAR
Colorado(3/21/2024)
RR
Florida(1/1/2004)
RR
Georgia(7/14/2009)
RR
Kansas(1/1/2004)
RR
Kentucky(7/15/2015)
RR
Maryland(6/10/2021)
RR
Missouri(1/1/2004)
RR
Nebraska(6/2/2022)
RR
New Hampshire(1/4/2021)
RR
New Mexico(1/2/2019)
RR
North Carolina(1/10/2014)
RR
Ohio(11/15/2011)
RR
Pennsylvania(1/17/2023)
RR
Tennessee(9/16/2014)
RR
Texas(7/14/2009)
IAR
Texas(3/21/2024)
RR
Virginia(3/2/2015)
RR
Wisconsin(7/14/2009)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80918TRUST BUT VERIFY
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