Emily K. Windolph

CETERA INVESTMENT ADVISERS LLC

NORMAN, OK 73069

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CRD#: 4053115

Professional summary

Emily Kay Windolph, who also goes by Emily Kay Hunter, Emily Kay Navarro, Emily Navarro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Norman, Oklahoma and CETERA WEALTH SERVICES, LLC located in Norman, Oklahoma.

Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Emily has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emily Kay Hunter | Emily Kay Navarro | Emily Navarro

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE & ANNUITIES 2 NAME OF OTHER BUSINESS: ABSOLUTE WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 9/2017 APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR 3. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Kay Windolph's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 717 Wall Street, Norman, OK 73069

RIA

CRD#: 105644

NORMAN, OK

Current

October 9, 2017 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NORMAN, OK

Past

October 9, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 17, 2011 - October 5, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

MIDWEST CITY, OK

Past

June 17, 2011 - October 5, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

MIDWEST CITY, OK

Past

February 16, 2010 - June 16, 2011

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

OKLAHOMA CITY, OK

Past

January 20, 2010 - June 16, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OKLAHOMA CITY, OK

Past

November 27, 2006 - October 6, 2009

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

OKLAHOMA CITY, OK

Past

November 22, 2006 - October 6, 2009

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

OKLAHOMA CITY, OK

Past

January 6, 2004 - November 20, 2006

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

EDMOND, OK

Past

December 9, 1999 - November 20, 2006

ARVEST WEALTH MANAGEMENT

CRD#: 42057

EDMOND, OK

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(2/22/2022)

Illinois
(2/22/2022)

North Carolina
(3/21/2023)

Oklahoma
(10/9/2017)

IAR

Oklahoma
(6/29/2023)

Texas
(10/9/2017)

IAR

Texas
(6/29/2023)

Virginia
(5/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Emily K. Windolph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Kay Windolph's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2003

Series 63

Date: 12/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/8/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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