Jose L. Munoz

CETERA INVESTMENT ADVISERS LLC

Overland Park, KS 66213

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CRD#: 6558147

Professional summary

Jose Luis Munoz JR, who also goes by Jose Luis Munoz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA INVESTMENT SERVICES LLC located in Overland Park, Kansas.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jose has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jose Luis Munoz

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.) ADJUNCT PROFESSOR FOR FINANCE AT DONELLY COLLEGE, 3/HRS/WK. 2.) LEGACY PLANNING GROUP, DBA FOR CETERA BUSINESS, 100% OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Luis Munoz JR'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

December 8, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 13200 Metcalf; Suite #280, Overland Park, KS 66213

RIA

CRD#: 105644

Overland Park, KS

Current

December 8, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 13200 Metcalf Suite #280, Overland Park, KS 66213

CRD#: 15340

OVERLAND PARK, KS

Past

June 13, 2017 - December 19, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Overland Park, KS

Past

June 13, 2017 - December 19, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Overland Park, KS

Past

January 6, 2016 - November 30, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

OVERLAND PARK, KS

Past

November 12, 2015 - November 30, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

OVERLAND PARK, KS

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

California
(1/3/2023)

Colorado
(12/12/2023)

Florida
(1/3/2023)

Georgia
(1/16/2024)

Idaho
(2/21/2023)

Illinois
(1/3/2023)

Iowa
(4/17/2023)

Kansas
(12/8/2022)

IAR

Kansas
(12/8/2022)

Louisiana
(2/21/2023)

Mississippi
(1/3/2023)

Missouri
(1/3/2023)

Nebraska
(7/11/2023)

New Jersey
(7/7/2023)

New Mexico
(1/13/2023)

North Carolina
(1/10/2024)

Oklahoma
(2/20/2024)

Pennsylvania
(2/21/2023)

Puerto Rico
(1/13/2023)

Texas
(1/3/2023)

IAR

Texas
(1/5/2023)

Virginia
(3/23/2023)

Washington
(1/3/2023)

West Virginia
(1/3/2023)

Wisconsin
(1/13/2023)

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

Series 63

Date: 1/13/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/6/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/14/2018

Investment Company Products/Variable Contracts Principal 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 L. Munoz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Luis Munoz JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/2016

Series 65

Date: 1/6/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2015

Series 26

Date: 9/14/2018

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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