Travis Boak
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.
Travis Boak, who also goes by Travis Ray Boak, was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2016. Travis had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - July 11, 2024
CETERA INVESTMENT ADVISERS LLC
April 7, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
April 7, 2020 - July 11, 2024
CETERA WEALTH SERVICES, LLC
July 1, 2019 - January 2, 2020
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
August 3, 2018 - July 3, 2019
CREATIVEONE SECURITIES, LLC
August 3, 2018 - July 3, 2019
CREATIVEONE SECURITIES, LLC
February 27, 2018 - July 5, 2018
TRANSAMERICA CAPITAL, LLC
May 8, 2017 - November 3, 2017
SII INVESTMENTS, INC.
May 8, 2017 - November 3, 2017
INVESTMENT CENTERS OF AMERICA, INC.
May 8, 2017 - November 3, 2017
INVEST FINANCIAL CORPORATION
November 21, 2016 - November 3, 2017
NATIONAL PLANNING CORPORATION
August 8, 2016 - November 3, 2017
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
