Arthur B. Hodes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Barry Hodes was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1971. Arthur had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2023 - September 27, 2023
CETERA INVESTMENT ADVISERS LLC
August 10, 2023 - September 27, 2023
CETERA WEALTH SERVICES, LLC
June 21, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
February 10, 1987 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
December 20, 1982 - September 15, 1986
IRG SECURITIES, INC.
July 3, 1980 - November 5, 1985
CONSECO FINANCIAL SERVICES, INC.
April 4, 1975 - February 21, 1977
NORTH STAR EQUITIES COMPANY
April 4, 1975 - July 23, 1984
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
January 22, 1973 - April 18, 1975
HORNOR, TOWNSEND & KENT, LLC
March 10, 1971 - August 23, 1972
NORTHEAST INVESTORS PLANNING CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/1/1971
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
