KH
Kimberly A. Hudak
CETERA INVESTMENT ADVISERS LLC
NORTH ROYALTON, OH 44133
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CRD#: 4168200
KH
Professional summary
Kimberly Ann Hudak, who also goes by Kimberly Ann Davis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Royalton, Ohio and CETERA ADVISORS LLC located in North Royalton, Ohio.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kimberly has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Ann Davis
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) FIXED INSURANCE AGENT 2) LEGACY FINANCIAL, DBA NAME FOR FINANCIAL SERVICES, 5171 WALLINGS RD SUITE 130 NORTH ROYALTON OH 44133, OFFICE MANAGER, ADMIN DUTIES, START 04/2006, 30HR/WK ; 3) NAME OF OTHER BUSINESS: FIRE FIGHTERS MEMORIAL RIDE; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 5/2022 ; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 2 HOURS ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: PRESENT SCHOLARSHIPS TO TO THE FAMILIES OF FIRE FIGHTERS ;
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann Hudak'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5171 Wallings Rd Ste 130, North Royalton, OH 44133RIA
CRD#: 105644
NORTH ROYALTON, OH
Current
July 18, 2007 - Present
CETERA ADVISORS LLC
Office #1: 5171 Wallings Rd Ste 130, North Royalton, OH 44133BD
CRD#: 10299
North Royalton, OH
Past
August 26, 2009 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
October 30, 2001 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
NORTH ROYALTON, OH
Past
March 21, 2001 - October 29, 2001
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
April 25, 2000 - March 15, 2001
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
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(1/2/2008)
RR
Colorado(8/14/2007)
RR
Florida(1/2/2009)
RR
Illinois(1/27/2017)
RR
Kentucky(5/9/2024)
RR
Maryland(11/4/2016)
RR
New York(8/14/2007)
RR
North Carolina(4/27/2010)
RR
Ohio(7/18/2007)
IAR
Ohio(3/21/2024)
RR
Pennsylvania(2/13/2015)
RR
Rhode Island(11/22/2021)
RR
South Carolina(2/12/2015)
RR
Texas(2/1/2018)
IAR
Texas(3/21/2024)
RR
Virginia(1/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
