CT
Colleen Tobey
CETERA INVESTMENT ADVISERS LLC
BALLSTON SPA, NY
Some features on this profile are disabled
CRD#: 4264202
CT
Professional summary
Colleen Tobey, who also goes by Colleen M Johnson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ballston Spa, New York and CETERA ADVISORS LLC located in Gansevoort, New York.
Colleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Colleen has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colleen M Johnson
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: KL HOOKER MANAGEMENT CORP DBA CAPITAL GROWTH & SHELTER, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2022 ; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG-TERM CARE; 3. NAME OF OTHER BUSINESS: KLH MANAGEMENT , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 32 APX NUMBER OF HOURS DURING TRADING HOURS: 32, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Colleen Tobey'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
RIA
CRD#: 105644
BALLSTON SPA, NY
Current
April 8, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Gansevoort, NY
Past
October 12, 2021 - October 4, 2024
CAPITAL GROWTH & SHELTER, INC.
RIA
CRD#: 126092
Ballston Spa, NY
Past
October 20, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BALLSTON SPA, NY
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
Arizona(6/8/2021)
RR
California(6/8/2021)
RR
Colorado(6/8/2021)
RR
Connecticut(6/8/2021)
RR
Florida(6/8/2021)
RR
Illinois(6/8/2021)
RR
Maine(1/23/2024)
RR
Maryland(6/8/2021)
RR
Massachusetts(1/23/2024)
RR
New Jersey(10/19/2020)
RR
New Mexico(6/8/2021)
RR
New York(4/25/2016)
IAR
New York(3/21/2024)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(6/8/2021)
RR
South Carolina(6/8/2021)
RR
Vermont(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/17/2021
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
