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AM

Anthony Mook

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CRD#: 5774202
AM

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.

Anthony Mook was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2010. Anthony had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) SALE OF FIXED INSURANCE (LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE). 2) TM CONSULTING, LLC, 2823 GALENA DRIVE, HENDERSON, NV. PRESIDENT. STARTED APRIL, 2010. DEVOTE APPROXIMATELY 20-40 HOURS A MONTH TO THIS BUSINESS, 10-20 OF WHICH WOULD BE DURING SECURITIES TRADING HOURS. ASSIST IN OPENING FINANCIAL REPRESENTATIVE PROGRAMS AT FINANCIAL INSTITUTIONS IN THE WESTERN US ON BEHALF OF THE FINANCIAL INSTITUTIONS DIVISION OF THE BROKER-DEALER. NON-INVESTMENT RELATED. 3) DBA - CUMORAH INVESTMENT SERVICES, LLC. (PRESIDENT & 100% OWNER). CONSULTATIVE, CONTACT CEO'S OF APPROPRIATE CREDIT UNIONS AND FACILITATE THE OPENING OF NEW FINANCIAL REPRESENTATIVE PROGRAMS AS NECESSARY. HENDERSON, NV. 4. PEAK FINANCIAL NETWORK SOLUTIONS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, INVESTMENT SERVICES, STARTED 6/2012, PROGRAM MANAGER, APX 8 HOURS PER WEEK, SOME DURING TRADING HOURS, ASSIST IN WORKING WITH FINANCIAL INSTITUTIONS TO CREATE NEW PROGRAMS AND IMPROVE EXISTING PROGRAMS. 5. NAME OF OTHER BUSINESS: ALTA VISTA CREDIT UNION DBA ALTA VISTA FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION START DATE: 12/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: DBA FOR FINANCIAL SERVICES BRIEF DESCRIPTION OF DUTIES: REGISTERED REP

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - October 22, 2024

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
REDLANDS, CA
Past

October 19, 2015 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
REDLANDS, CA
Past

September 1, 2010 - October 22, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
REDLANDS, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/4/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/30/2010
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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