Kathleen B. Van Fleet-bailey

CETERA INVESTMENT ADVISERS LLC

OLDSMAR, FL

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CRD#: 2407398

Professional summary

Kathleen Bridget Van Fleet-bailey, who also goes by Kathleen Damron, Kathleen Bridget Van Fleet, Kathleen Bridget Van Fleet Bailey, Kathleen B Vanburen, Kathleen Bridget Vanburen, Kathleen Vanfleet, Kathleen Bridget Van Fleet-bailey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oldsmar, Florida and CETERA INVESTMENT SERVICES LLC located in Oldsmar, Florida.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kathleen has worked at 18 firms and has passed the Series 66, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 28, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Bridget Van Fleet-bailey'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®

None

Experience

Current

February 15, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

OLDSMAR, FL

Current

December 20, 2024 - Present

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

OLDSMAR, FL

Current

December 20, 2024 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OLDSMAR, FL

Current

December 20, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

OLDSMAR, FL

Current

December 20, 2024 - Present

CETERA ADVISORS LLC

CRD#: 10299

OLDSMAR, FL

Past

March 15, 2018 - November 7, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Oldsmar, FL

Past

March 14, 2018 - November 7, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 14, 2018 - November 7, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 17, 2018 - February 28, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

TAMPA, FL

Past

November 13, 2017 - February 23, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

TAMPA, FL

Past

June 18, 2012 - October 27, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

TAMPA, FL

Past

June 6, 2012 - February 28, 2018

LPL FINANCIAL LLC

CRD#: 6413

TAMPA, FL

Past

March 30, 2011 - March 27, 2012

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOCA RATON, FL

Past

January 20, 2011 - March 27, 2012

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

July 28, 2008 - December 31, 2011

GRANDVIEW CAPITAL ADVISORS

RIA

CRD#: 147199

FORT LAUDERDALE, FL

Past

October 31, 2007 - December 31, 2010

PHX FINANCIAL, INC.

CRD#: 144403

FORT LAUDERDALE, FL

Past

January 18, 2005 - January 18, 2007

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

FORT LAUDERDALE, FL

Past

January 4, 2005 - January 18, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

FT LAUDERDALE, FL

Past

March 15, 2004 - January 3, 2005

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

July 10, 2002 - December 19, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

MIRAMAR, FL

Past

June 20, 2002 - December 19, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

April 29, 2002 - June 6, 2002

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

FT. LAUDERDALE, FL

Past

March 1, 2000 - June 6, 2002

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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

California
(12/20/2024)

Florida
(12/20/2024)

IAR

Florida
(2/15/2025)

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: 5/11/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/29/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 1/13/2009

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/25/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2000

General Securities Principal Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Kathleen B. Van Fleet-bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Bridget Van Fleet-bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

LPL FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

GRANDVIEW CAPITAL ADVISORS

PHX FINANCIAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NEWBRIDGE SECURITIES CORPORATION

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2001

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/29/2000

Series 28

Date: 1/13/2009

Series 53

Date: 3/25/2003

Series 24

Date: 5/2/2000

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

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