Jimmy R. Youell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jimmy Ray Youell, who also goes by Jim Youell, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1971. Jimmy had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2011 - December 31, 2018
CETERA ADVISORS LLC
December 13, 2011 - December 31, 2018
CETERA ADVISORS LLC
July 17, 2009 - December 14, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 17, 2009 - December 14, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 22, 2009 - July 17, 2009
CETERA ADVISORS LLC
January 1, 2004 - July 17, 2009
CETERA ADVISORS LLC
April 4, 2001 - January 1, 2004
IFG NETWORK SECURITIES, INC.
September 17, 1999 - February 21, 2001
ARVEST WEALTH MANAGEMENT
September 6, 1996 - September 23, 1999
WOODBURY FINANCIAL SERVICES, INC.
July 1, 1993 - September 10, 1996
WALNUT STREET SECURITIES, INC.
December 3, 1990 - July 30, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 3, 1990 - July 30, 1993
PRUCO SECURITIES, LLC.
June 24, 1985 - November 21, 1990
WALNUT STREET SECURITIES, INC.
June 19, 1983 - February 27, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 20, 1980 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
June 15, 1974 - July 5, 1980
HIMCO DISTRIBUTION SERVICES COMPANY
January 15, 1974 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
February 19, 1971 - October 9, 1971
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/16/1971
Registered Representative ExaminationCurrent Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
