Jeffrey Burgess
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.
Jeffrey Burgess, who also goes by Jeff Burgess, Jeffrey Lynn Burgess, Jeffrey Burgess, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2022 - May 6, 2024
CETERA INVESTMENT ADVISERS LLC
November 15, 2022 - May 6, 2024
CETERA INVESTMENT SERVICES LLC
January 18, 2022 - July 26, 2022
EMPOWER ADVISORY GROUP, LLC
January 18, 2022 - July 26, 2022
EMPOWER FINANCIAL SERVICES, INC.
January 27, 2020 - August 24, 2020
CARY STREET PARTNERS
January 24, 2020 - August 24, 2020
CARY STREET PARTNERS
January 14, 2019 - January 29, 2020
BCS WEALTH MANAGEMENT, LLC
November 15, 2018 - February 3, 2020
PURSHE KAPLAN STERLING INVESTMENTS
July 1, 2015 - November 2, 2018
FIRST HORIZON ADVISORS, INC.
July 1, 2015 - November 2, 2018
FIRST HORIZON ADVISORS, INC.
January 6, 2011 - July 2, 2015
TRUIST INVESTMENT SERVICES, INC.
January 6, 2011 - July 2, 2015
TRUIST INVESTMENT SERVICES, INC.
September 13, 2010 - December 16, 2010
BB&T INVESTMENT SERVICES, INC.
September 13, 2010 - December 16, 2010
BB&T INVESTMENT SERVICES, INC.
December 11, 2008 - September 14, 2010
TRUIST INVESTMENT SERVICES, INC.
October 7, 2008 - September 14, 2010
TRUIST INVESTMENT SERVICES, INC.
March 12, 2008 - July 7, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 6, 2007 - November 2, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 6, 2006 - March 12, 2007
TRUIST INVESTMENT SERVICES, INC.
September 23, 2005 - January 3, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
November 24, 2004 - September 13, 2005
FIRST HORIZON ADVISORS, INC.
September 30, 2003 - October 22, 2004
BI INVESTMENTS, LLC
May 13, 2003 - November 18, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
October 1, 2000 - April 30, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 13, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
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
Current 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.
