JG
Joseph H. George
CETERA INVESTMENT ADVISERS LLC
KATY, TX 77449
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CRD#: 6678940
JG
Professional summary
Joseph Horace George is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Katy, Texas and CETERA INVESTMENT SERVICES LLC located in Katy, Texas.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2016; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: HOUSTON LIVESTOCK SHOW & RODEO; INVESTMENT RELATED: NO; ADDRESS: 3 NRG PKWY, HOUSTON, TX 77054; NATURE OF BUSINESS: LIVESTOCK SHOW & RODEO; START DATE: 11/2018; POSITION/TITLE/RELATIONSHIP: COMMITTEEMAN; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SEEK DONATIONS FOR THE SCHOOL ART AUCTION; 3. NAME OF OTHER BUSINESS: HOUSTON A&M CLUB; INVESTMENT RELATED: NO; ADDRESS: 1334 BRITTMORE, HOUSTON, TX 77043 NATURE OF BUSINESS: NONPROFIT ORGANIZATION; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: GUIDE CLUB POLICIES, ACTIVITIES, EVENTS AND GENERAL BUSINESS; 4. NAME OF OTHER BUSINESS: JOSEPH GEORGE / HURST LENDING; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: MORTGAGES; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: LOAN OFFICER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: INDEPENDENT CONTRACTOR THAT WILL HELP CLIENTS QUALIFY AND GET LOANS FOR THEIR HOMES AND INVESTMENT PROPERTIES; 5. NAME OF OTHER BUSINESS: INNOVATIVE PREMIER FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROVIDING INVESTMENT SOLUTIONS; START DATE: 03/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: PROVIDING COMPREHENSIVE FINANCIAL STRATEGIES AND SOLUTIONS FOR OUR CLIENTS. FIND & MEET WITH CLIENTS TO SEE WHERE THEY ARE, WHAT THEY ARE TRYING TO ACCOMPLISH AND WHY. PROVIDE RECOMMENDATIONS THAT FILL ANY GAPS THEY MAY HAVE AND SHOW A PATHWAY OF ACTIONS TO HELP THEM ACHIEVE THEIR STATED GOALS. CONDUCT REVIEWS BASED ON THEIR NEEDS; 6. NAME OF OTHER BUSINESS: INNOVATIVE PREMIER FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROVIDE INSURANCE TO MY CLIENTS; START DATE: 08/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: PROVIDING COMPREHENSIVE FINANCIAL STRATEGIES AND SOLUTIONS FOR OUR CLIENTS. FIND & MEET WITH CLIENTS TO SEE WHERE THEY ARE, WHAT THEY ARE TRYING TO ACCOMPLISH AND WHY. MY RECOMMENDATIONS FILL ANY GAPS THEY MAY HAVE AND SHOW A PATHWAY OF ACTIONS TO HELP THEM ACHIEVE THEIR STATED GOALS. CONDUCT REVIEWS BASED ON THEIR NEEDS; 7. NAME OF OTHER BUSINESS: IPFS PLANNING, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Horace George'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
August 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21776 Katy Freeway, Katy, TX 77449RIA
CRD#: 105644
KATY, TX
Current
April 28, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 21776 Katy Freeway, Katy, TX 77449BD
CRD#: 15340
KATY, TX
Past
August 21, 2024 - April 30, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HOUSTON, TX
Past
April 26, 2021 - August 22, 2024
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
HOUSTON, TX
Past
April 26, 2021 - August 22, 2024
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
January 30, 2017 - August 13, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
HOUSTON, TX
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
Florida(4/28/2025)
RR
Oklahoma(4/28/2025)
IAR
Texas(8/21/2024)
RR
Texas(4/28/2025)
RR
Virginia(4/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Katy, TX 77449TRUST BUT VERIFY
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