Vinod K. Joshi

CETERA INVESTMENT ADVISERS LLC

OKLAHOMA CITY, OK 73134

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CRD#: 4057204

Professional summary

Vinod Kumar Joshi is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA ADVISORS LLC located in Oklahoma City, Oklahoma.

Vinod is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Vinod has worked at 6 firms and has passed the Series 66, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. INSURANCE - AGENT 2. INVESTMENT CONCEPTS & FINANCIAL PLANNING SERVICES. REPRESENTATIVE. DBA. STARTED 5/30/2008. 3. Girl Scout Troop 3021;Volunteer; Non-Profit Organization; start date 06/01/2016; 4 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinod Kumar Joshi'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

November 2, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 13919 Quail Pointe Drive, Oklahoma City, OK 73134

RIA

CRD#: 105644

OKLAHOMA CITY, OK

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 13919 Quail Pointe Drive, Oklahoma City, OK 73134

CRD#: 10299

Oklahoma City, OK

Past

May 30, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

OKLAHOMA CITY, OK

Past

January 3, 2007 - January 2, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

OKLAHOMA CITY, OK

Past

December 16, 1999 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

OKLAHOMA CITY, OK

Past

November 17, 1999 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

OKLAHOMA CITY, 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

Colorado
(6/25/2024)

North Carolina
(9/8/2022)

Ohio
(9/8/2022)

IAR

Oklahoma
(11/2/2021)

Oklahoma
(9/8/2022)

IAR

Texas
(11/3/2021)

Texas
(9/8/2022)

Washington
(9/8/2022)

Wyoming
(9/8/2022)

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: 11/29/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/16/1999

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Vinod K. Joshi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinod Kumar Joshi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/1999

SIE

Date: 10/1/2018

Series 6

Date: 11/16/1999

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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