Kimberly A. Slack

CETERA INVESTMENT ADVISERS LLC

SHREVEPORT, LA 71101

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CRD#: 4366281

Professional summary

Kimberly Anne Slack, who also goes by Kimberly Anne Sandidge, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shreveport, Louisiana and CETERA INVESTMENT SERVICES LLC located in Cypress, Texas.

Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kimberly has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Anne Sandidge

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.)NEW: JT, 100% OWNERSHIP WITH SPOUSE OF JELKS COFFEE ROASTERS, COFFEE DELIVERY AND ROASTING, NO COMPENSATION - 0 HRS INVOLVEMENT. NO SECURITIES CLIENTS/ACTIVITES. OWNER - NO DUTIES OR RESPONSIBILITIES., 2.) 26% OWNERSHIP IN CS SUPPLY OF LOUISIANNA. PART OWNER NO HOURS- NO COMPENSATION - FOOD AND PAPER SUPPLY. NO SECURITIES CLIENTS/ACTIVITIES. 3.) TRAVEL/LIFESTYLE BLOG 2-3 HRS WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Anne Slack'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

January 29, 2016 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 333 Texas Street, Shreveport, LA 71101

RIA

CRD#: 105644

SHREVEPORT, LA

Current

February 24, 2016 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 17465 Spring Cypress Road, Cypress, TX 77429Office #2: 1000 West Southwest Loop 323, Tyler, TX 75701Office #3: 333 Texas Street, Shreveport, LA 71101

CRD#: 15340

Cypress, TX

Past

January 21, 2014 - November 11, 2014

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCHAUMBURG, IL

Past

November 25, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SHREVEPORT, LA

Past

March 4, 2013 - November 11, 2014

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SHREVEPORT, LA

Past

October 30, 2002 - January 14, 2005

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

April 18, 2001 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

April 18, 2001 - September 4, 2002

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

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

IAR

Louisiana
(1/29/2016)

Louisiana
(2/24/2016)

IAR

Texas
(2/1/2016)

Texas
(1/16/2019)

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: 11/22/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/3/2001

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: 3/1/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2018

General Securities Principal 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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Kimberly A. Slack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Anne Slack's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

AMSOUTH INVESTMENT SERVICES, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2013

Series 63

Date: 7/3/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2013

Series 6

Date: 4/17/2001

Series 24

Date: 6/8/2018

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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