Jose A. Valle

CETERA INVESTMENT ADVISERS LLC

KATY, TX 77494

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CRD#: 4551456

Professional summary

Jose Antonio Valle II, who also goes by Jose A Valle II, Jose Antonio Valle Ii, Jose Antonio Valle, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Katy, Texas and CETERA INVESTMENT SERVICES LLC located in Katy, Texas.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jose has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jose A Valle Ii | Jose Antonio Valle Ii | Jose Antonio Valle

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Antonio Valle II'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

August 4, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9702 Gaston Road, Katy, TX 77494

RIA

CRD#: 105644

KATY, TX

Current

August 4, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 9702 Gaston Road, Katy, TX 77494

CRD#: 15340

KATY, TX

Past

March 31, 2025 - August 6, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

KATY, TX

Past

August 30, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

KATY, TX

Past

August 22, 2023 - August 6, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

KATY, TX

Past

January 26, 2022 - August 7, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Houston, TX

Past

January 26, 2022 - August 7, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Houston, TX

Past

June 8, 2021 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

HOUSTON, TX

Past

June 8, 2021 - August 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Houston, TX

Past

June 8, 2021 - August 7, 2023

TD AMERITRADE, INC.

CRD#: 7870

HOUSTON, TX

Past

January 13, 2020 - June 2, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

HOUSTON, TX

Past

January 13, 2020 - June 2, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

April 8, 2015 - January 3, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

April 8, 2015 - January 3, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

December 9, 2014 - April 8, 2015

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

SUGARLAND, TX

Past

May 16, 2013 - April 8, 2015

BBVA SECURITIES INC.

CRD#: 27060

SUGAR LAND, TX

Past

May 19, 2011 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SUGAR LAND, TX

Past

June 28, 2010 - May 11, 2011

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

HOUSTON, TX

Past

March 30, 2009 - April 15, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SUGAR LAND, TX

Past

December 21, 2005 - February 12, 2009

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

KATY, TX

Past

February 7, 2005 - November 4, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 1, 2003 - August 12, 2004

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

July 15, 2002 - September 27, 2002

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Alabama
(8/21/2025)

Arizona
(8/4/2025)

Arkansas
(8/4/2025)

Florida
(8/4/2025)

Georgia
(8/21/2025)

Louisiana
(8/4/2025)

Massachusetts
(8/4/2025)

Michigan
(8/4/2025)

Missouri
(8/4/2025)

New York
(8/4/2025)

Pennsylvania
(8/4/2025)

Texas
(8/4/2025)

IAR

Texas
(8/4/2025)

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 65

Date: 12/3/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2002

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: 11/9/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/2002

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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Advisor Monitoring

Firm Stability Insights

Jose A. Valle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Antonio Valle II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

INVESTMENT PROFESSIONALS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WAMU INVESTMENTS, INC.

USAA INVESTMENT SERVICES COMPANY

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/2014

Series 63

Date: 7/12/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2013

Series 6

Date: 7/12/2002

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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