HT
Holli L. Taylor
CETERA INVESTMENT ADVISERS LLC
TULSA, OK 74137
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CRD#: 4466286
HT
Professional summary
Holli Luan Taylor is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tulsa, Oklahoma and CETERA WEALTH SERVICES, LLC located in Tulsa, Oklahoma.
Holli is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Holli has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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) NAME OF ENTITY:SPIRIT BANK; Yes; 4815 S HARVARD STE 100; TULSA; OK; 74135; FINANCIAL SERVICES; FINANCIAL ADVISER; 8/1/2016; 30; 30; SALE AND SERVICE SECURITIES PRODUCTS.| 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 5030 EAST 101 ST ST STE A; TULSA; OK; 74137; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/17/2013; 40; 40; FIXED INSURANCE SALES PRODUCTS| 3) NAME OF ENTITY:HOLLI TAYLOR NOTARY; No; 5030 East 101st, STE A; Tulsa; OK; 74137; NOTARY; NOTARY; 5/23/2019; 1; 1; Notarizing documents as needed| 4) NAME OF OTHER BUSINESS: MARKET WEALTH MANAGEMENT LLC DBA TAYLOR BASDEN & ASSOCIATES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Holli Luan Taylor'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5030 E 101st St Ste A, Tulsa, OK 74137Office #2: 4815 S. Harvard Ste 100, Tulsa, OK 74135RIA
CRD#: 105644
TULSA, OK
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5030 E 101st St Ste A, Tulsa, OK 74137BD
CRD#: 13572
TULSA, OK
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Tulsa, OK
Past
March 8, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
OWASSO, OK
Past
February 4, 2009 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
OWASSO, OK
Past
November 19, 2001 - August 26, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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
Alabama(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(11/17/2023)
RR
Delaware(11/17/2023)
RR
Illinois(9/8/2023)
RR
Kansas(8/1/2025)
RR
Missouri(6/9/2021)
RR
North Carolina(7/24/2024)
RR
Oklahoma(6/9/2021)
IAR
Oklahoma(6/29/2023)
RR
Oregon(9/5/2023)
RR
Pennsylvania(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(2/13/2024)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tulsa, OK 74137TRUST BUT VERIFY
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