KS
Kelsey B. Shimkus
CETERA INVESTMENT ADVISERS LLC
LIVINGSTON, TX 77351
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CRD#: 7112993
KS
Professional summary
Kelsey Brianne Shimkus, who also goes by Kelsey Brianne Moore, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Livingston, Texas and CETERA ADVISORS LLC located in Livingston, Texas.
Kelsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kelsey has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelsey Brianne Moore
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: REV INVESTMENT RELATED: NO ; ADDRESS: 1717 W. 6TH ST, STE 310, AUSTIN, TX 78703 NATURE OF BUSINESS: TRANSCRIPTING ; START DATE: 08/2021 ; POSITION/TITLE/RELATIONSHIP: FREELANCE TRANSCRIBER ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES: CLAIMING PROJECTS AND RESPONSIBLE FOR CREATING THE SUBTITLES TO THE VIDEO AND/ OR CLIP ; 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY SERVICES; START DATE: 7/2020; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Kelsey Brianne Shimkus'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2123 Us Hwy 190w, Livingston, TX 77351RIA
CRD#: 105644
LIVINGSTON, TX
Current
November 10, 2020 - Present
CETERA ADVISORS LLC
Office #1: 2123 Us Hwy 190w, Livingston, TX 77351BD
CRD#: 10299
Livingston, TX
Past
June 8, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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
Texas(5/11/2021)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/10/2020
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Livingston, TX 77351TRUST BUT VERIFY
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