VV
Vicente D. Vargas
CETERA INVESTMENT ADVISERS LLC
TUCSON, AZ 85715-4099
Some features on this profile are disabled
CRD#: 6272198
VV
Professional summary
Vicente Dominick Vargas, who also goes by VIncente Dominick Vargas, Vicente D Vargas, Vicente Dominick Vargas, Vince D Vargas, Vince Dominick Vargas, Vincente D Vargas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tucson, Arizona and CETERA WEALTH SERVICES, LLC located in Tucson, Arizona.
Vicente is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Vicente has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vincente Dominick Vargas | Vicente D Vargas | Vicente Dominick Vargas | Vince D Vargas | Vince Dominick Vargas | Vincente D Vargas
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) THE FRANCISCO J. CORONADO LIVING TRUST POSITION: Trustee NATURE: Irrevocable Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/24/2018 ADDRESS: 2115 S. NORTON AVE, Tucson AZ 85713, United States DESCRIPTION: Maintain trust assets/Trust Fiduciary 2) TVK, LLC POSITION: Member NATURE: This entity is being used to purchase and hold the building that the related accounting firm, financial services firm, and other non-related businesses do business from. It's income will only consist of rents received. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/18/2024 ADDRESS: 2055 N. Kolb Road, Suite 101, Tucson AZ 857154099, United States DESCRIPTION: Member (owner) of entity. Overall responsibility for collection of rent, paying expenses, and all other aspects of TVK, LLC business. 3) BUSBY, SANFORD, BRADY, CPAS, PLC POSITION: Member NATURE: Public accounting firm offering tax and accounting services to the public. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2013 ADDRESS: 2055 N. Kolb Road, Suite 101, Tucson AZ 85715, United States DESCRIPTION: 1.) Prepare tax returns2.) Review tax returns3.) Set up client accounting systems4.) Perform and review bookkeeping services5.) Tax planning 6.) Manage client relationships 4) CAPSTONE CAPITAL MANAGEMENT, LLC DBA BUSBY SANFORD BRADY FINANCIAL ADVISORS POSITION: Investment advisor NATURE: Investment advising INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2023 ADDRESS: 2055 N. Kolb Road, Suite 101, Tucson AZ 857154099, United States DESCRIPTION: Provide investment advisory services to clientele
CRS (Client Relationship Summary) - RIA
Click below to view Vicente Dominick Vargas'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2055 N. Kolb Road Suite 101, Tucson, AZ 85715-4099RIA
CRD#: 105644
TUCSON, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2055 N. Kolb Road Suite 101, Tucson, AZ 85715-4099BD
CRD#: 13572
TUCSON, AZ
Past
December 1, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TUCSON, AZ
Past
July 12, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TUCSON, AZ
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
Arizona(9/5/2025)
IAR
Arizona(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/12/2022
General Securities Representative ExaminationGeneral 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
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.
