DB
Damon R. Bootes
CETERA INVESTMENT ADVISERS LLC
LOUISVILLE, KY 40216
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CRD#: 2444844
DB
Professional summary
Damon Robert Bootes is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA ADVISORS LLC located in Louisville, Kentucky.
Damon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Damon has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. DR BOOTES TAX PREPARATION; INCOME TAX PREPARER; START DATE: 10/28/2017; 12 HOURS PER MONTH. 2. SAFETY CONSULTANT INLAND RIVER TRANSPORTATION; INDEPENDENT CONTRACTOR; START DATE 08/01/2018; 8 HOURS A MONTH. 3. FALLS CITY SOCCER CLUB; COACH; EDUCATION/TEACHING; START DATE: 11/01/2019; 12 HOURS PER MONTH. 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2024; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: CLIFFORD BOOTES ASSET MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;
CRS (Client Relationship Summary) - RIA
Click below to view Damon Robert Bootes'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1728 Gagel Ave, Louisville, KY 40216RIA
CRD#: 105644
LOUISVILLE, KY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
LOUISVILLE, KY
Past
November 15, 2017 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LOUISVILLE, KY
Past
November 13, 2017 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LOUISVILLE, KY
Past
February 11, 2015 - November 14, 2017
WADDELL & REED
RIA
CRD#: 866
LOUISVILLE, KY
Past
November 13, 2014 - November 14, 2017
WADDELL & REED
BD
CRD#: 866
LOUISVILLE, KY
Past
August 8, 1997 - December 21, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
June 6, 1997 - July 31, 1997
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
February 15, 1994 - May 23, 1997
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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
California(11/12/2025)
RR
Georgia(9/8/2022)
RR
Indiana(9/8/2022)
IAR
Kentucky(11/12/2020)
RR
Kentucky(9/8/2022)
RR
Mississippi(9/8/2022)
RR
North Carolina(5/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
