WC
Walter J. Cotton
CETERA INVESTMENT ADVISERS LLC
TROY, AL
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CRD#: 3057646
WC
Professional summary
Walter Jeffrey Cotton JR, who also goes by Jeff Cotton Jr, Walter Jeffrey Cotton, Walter Jeffrey Jr Cotton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, Alabama and CETERA WEALTH SERVICES, LLC located in Troy, Alabama.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Walter has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Cotton Jr | Walter Jeffrey Cotton | Walter Jeffrey Jr Cotton
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) J.F. Shirley, Inc.~'NIR'~1223 South Brundidge Street~Troy~AL~36081~Other~Other~8/1/2014~80hrs~60hrs~Operational and /or Marketing Name for HD Vest Services 2) Trojan Properties, LLC~'NIR'~219 Botts Avenue~Troy~AL~36081~Rental Property Owner/Management~Owner/Sole Proprietor~4/1/2008~10hrs~10hrs~Manage and own rental properties. 3) United Appeal~'NIR'~PO Box 204~Troy~AL~36081~Nonprofit~Treasurer/Comptroller~9/12/2014~4hrs~1hrs~Treasurer for Company| 4) Zebulon Properties, LLC~'NIR'~PO Box 284~Troy~AL~36081~Real Estate~Partner/General Partner~7/28/2015~2hrs~1hrs~Finding tenants, bookkeeping. 5) Woodland Creek, LLC~'NIR'~PO Box 284~Troy~AL~36081~Real Estate~Partner/General Partner~7/28/2015~0hrs~0hrs~None. Just owns a piece of property. Eventually will be some bookkeeping involved. 6) Pike County Republican Executive Committee~'NIR'~436 County Road 5516~Troy~AL~36081~Board Position/Officer~Other~1/24/2020~.25hrs~0hrs~The committee asked if I would be there Treasurer. I would make deposits and issue checks at the request of the Chairman. 7) HOOTENANNY PROPERTIES LLC POSITION: MEMBER NATURE: RENTAL PROPERTIES TO BE HELD IN THIS LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2024 ADDRESS: 1223 South Brundidge Street, Troy AL 36081, United States DESCRIPTION: TAKE OF RENTAL INCOME AND EXPENSES
CRS (Client Relationship Summary) - RIA
Click below to view Walter Jeffrey Cotton JR'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TROY, AL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1223 South Brundidge Street, Troy, AL 36081BD
CRD#: 13572
TROY, AL
Past
September 12, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TROY, AL
Past
September 12, 2014 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TROY, AL
Past
April 2, 2007 - September 22, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
MONTGOMERY, AL
Past
April 2, 2007 - September 22, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
MONTGOMERY, AL
Past
February 4, 2004 - April 4, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
TROY, AL
Past
January 27, 2004 - April 4, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TROY, AL
Past
April 19, 2002 - January 29, 2004
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
TROY, AL
Past
February 8, 2002 - January 29, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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(9/5/2025)
IAR
Alabama(9/5/2025)
RR
Florida(9/5/2025)
RR
Kentucky(9/5/2025)
Exams
State Security Law Exam
State Security Law 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.
