Valiullah Najafi
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77046
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CRD#: 2568927
Professional summary
Valiullah Najafi, CFP®, who also goes by Wally Najafi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
Valiullah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Valiullah has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wally Najafi
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) DBA: NAJAFI FINANCIAL LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, INVESTMENT, ADVISORY AND INSURANCE SERVICES, START MARCH 2013, 40 PLUS HRS. PER WEEK - DURING TRADING HOURS, INVESTMENT ADVISOR REPRESENTATIVE 2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START MARCH 2013, 10 HRS. PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, DENTAL, LONG-TERM CARE, AND ANNUITIES 3) NAME OF OTHER BUSINESS: WALLY NAJAFI ; INVESTMENT RELATED: NO; ADDRESS: 6109 CHERRYLAWN CIR UNIT A AUSTIN, TX 78723 ; NATURE OF BUSINESS: RESIDENTIAL RENTAL ; START DATE: 04/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE REPAIR AND MAINTENANCE ON 2ND RESIDENTIAL RENTAL ; 4) NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Valiullah Najafi'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: 2017
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8 Green Way Plaza Ste 1350, Houston, TX 77046RIA
CRD#: 105644
HOUSTON, TX
Current
November 8, 2013 - Present
CETERA ADVISORS LLC
Office #1: 10200 Richmond Ave Ste 252, Houston, TX 77042BD
CRD#: 10299
Houston, TX
Past
November 8, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
HOUSTON, TX
Past
June 12, 1997 - November 13, 2013
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
HOUSTON, TX
Past
June 6, 1997 - November 13, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
HOUSTON, TX
Past
April 5, 1995 - April 22, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, 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".
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(8/13/2018)
RR
California(11/8/2013)
RR
Connecticut(9/22/2015)
RR
Massachusetts(11/8/2013)
RR
Missouri(11/8/2013)
RR
North Carolina(1/7/2022)
RR
Oregon(6/10/2024)
RR
Texas(11/8/2013)
IAR
Texas(3/21/2024)
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
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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.
