Joseph J. Ceasar

11 FINANCIAL

Lufkin, TX

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CRD#: 4710017

Professional summary

Joseph Jerome Ceasar, who also goes by Joe Ceasar, is a registered financial advisor currently at 11 FINANCIAL located in Lufkin, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Ceasar

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.

JOSEPH CEASAR IS THE PRESIDENT OF THE BOARD OF DIRECTORS OF THE LEGACY INSTITUTE FOR FINANCIAL EDUCATION, NOT FINANCIAL RELATED, A NON-PROFIT (501(C)3) ORGANIZATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Jerome Ceasar'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 28, 2025 - Present

11 FINANCIAL

RIA

CRD#: 174569

Lufkin, TX

Past

November 29, 2022 - December 31, 2024

11 FINANCIAL

RIA

CRD#: 174569

Lufkin, TX

Past

June 8, 2015 - February 1, 2021

SEMITA ASSET MANAGEMENT

RIA

CRD#: 226757

HOUSTON, TX

Past

May 13, 2015 - July 6, 2017

INVESTORS OF THE KINGDOM LLC

RIA

CRD#: 175000

LUFKIN, TX

Past

September 22, 2011 - July 6, 2015

CAZ INVESTMENTS L.P.

RIA

CRD#: 113931

HOUSTON, TX

Past

July 2, 2010 - October 24, 2011

INROADS CAPITAL MANAGEMENT LLC

RIA

CRD#: 151965

HOUSTON, TX

Past

July 6, 2005 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

HOUSTON, TX

Past

July 6, 2005 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 22, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CYPRESS, TX

Past

April 22, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

November 1, 2004 - April 14, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HOUSTON, TX

Past

September 21, 2004 - April 14, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 15, 2004 - August 16, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

December 17, 2003 - February 2, 2004

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/28/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/2003

General Securities Representative Examination

Current Firm

11 FINANCIAL

CRD#: 174569 / SEC#: 801-129130

RIA

Registered Investment Advisory firm - (7/1/2025 Terminated)

Alabama

Registered Investment Advisory firm - (5/7/2025 Approved)

Florida

Registered Investment Advisory firm - (6/26/2025 Approved)

Louisiana

Registered Investment Advisory firm - (1/28/2025 Approved)

Texas

Registered Investment Advisory firm - (2/11/2025 Approved)

Virginia

Registered Investment Advisory firm - (7/1/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

504 S First St., Lufkin, TX 75901

Mailing Address

Phone number

(936) 899-5629

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 24,014,190

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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Firm Stability Insights

Joseph J. Ceasar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Jerome Ceasar's CRS (Customer Relationship Summary).

Certified licenses

Experience

11 FINANCIAL

SEMITA ASSET MANAGEMENT

INVESTORS OF THE KINGDOM LLC

CAZ INVESTMENTS L.P.

INROADS CAPITAL MANAGEMENT LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

FARMERS FINANCIAL SOLUTIONS, LLC

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2010

Series 63

Date: 3/26/2004

Series 7

Date: 12/16/2003

Current Firm

11 FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

11 FINANCIAL

TRUST BUT VERIFY

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