KL
Khanh T. Lowery
CETERA INVESTMENT ADVISERS LLC
TAMPA, FL 33626
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CRD#: 2941334
KL
Professional summary
Khanh Tran Lowery, who also goes by Khanh T Lowery, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Tampa, Florida.
Khanh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Khanh has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Khanh T Lowery
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)AMERITAS AGENT - SELLING & MARKETING INSURANCE PRODUCTS,10 HOURS PER WEEK 2)NAME OF OTHER BUSINESS: LOWERY, WELDON & COMPANY, CPAS, P.A ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA FIRM ; START DATE: 08/1994 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA ; APX NUMBER OF HOURS PER WEEK: 45 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PROCESS ACCOUNTS PAYABLE INVOICES FOR CLIENTS. POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS ; 2)HEALTH INS, HSA PLANS-PRES SINCE 1/1/06-PROMOTING HSA HEALTH PLANS TO CLIENTS-10HR/WK. 4) REAL ESTATE/PROPERTY RENTAL; NOT INVESTMENT RELATED; 777 N ASHLEY DR, #1708, TAMPA, FL 33602; START 9/2007; 2 HOURS/WEEK AFTER TRADING HOURS; MANAGES CONDOMINIUM UNIT AND USES REAL ESTATE AGENT TO RENT THE UNIT. 3)NAME OF OTHER BUSINESS: KPT INVESTMENTS LLC ; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: REAL ESTATE HOLDING ; START DATE: 02/2023 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: THIS ENTITY OWNS A PARCEL OD LAND IN TAMPA, FL ;
CRS (Client Relationship Summary) - RIA
Click below to view Khanh Tran Lowery'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
July 8, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12610 Race Track Rd Ste 150, Tampa, FL 33626Office #2: 129 6th Ave North, Safety Harbor, FL 34695-3532RIA
CRD#: 105644
TAMPA, FL
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 12610 Race Track Rd Ste 150, Tampa, FL 33626BD
CRD#: 10358
TAMPA, FL
Past
September 22, 2003 - October 29, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
SAFETY HARBOR, FL
Past
August 27, 2003 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
Past
October 2, 1997 - August 4, 2003
ROGAN & ASSOCIATES, INC.
RIA
CRD#: 42762
SAFETY HARBOR, FL
Past
September 29, 1997 - August 4, 2003
ROGAN & ASSOCIATES, INC.
BD
CRD#: 42762
SAFETY HARBOR, FL
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(6/30/2004)
RR
Florida(7/6/2004)
IAR
Florida(7/8/2004)
RR
Pennsylvania(2/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tampa, FL 33626TRUST BUT VERIFY
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