BR
Brooks Randolph
CETERA INVESTMENT ADVISERS LLC
STOCKTON, CA 95207
Some features on this profile are disabled
CRD#: 7426591
BR
Professional summary
Brooks Randolph is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stockton, California and CETERA WEALTH SERVICES, LLC located in Stockton, California.
Brooks is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Brooks has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 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: L&J FINANCIAL INC. OBA VALLEY FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/2022 POSITION/TITLE/RELATIONSHIP: REGISTERED ASSISTANT APX NUMBER OF HOURS PER WEEK: 0 UNTIL JUNE 2022, THEN 40+ HOURS PER WEEK APX NUMBER OF HOURS DURING TRADING HOURS: 0 UNTIL JUNE 2022, THEN 40+ HOURS PER WEEK BRIEF DESCRIPTION OF DUTIES: REGISTERED ASSISTANT, BEGINNING IN JUNE 2022, ACTIVITIES WILL INCLUDE ADDRESSING CLIENT SERVICE CALLS BY PHONE OR IN PERSON, EVALUATING TECHNOLOGY INNOVATIONS FOR USE IN THE BUSINESS, PROCESSING PAPERWORK FOR NEW AND EXISTING CLIENTS, AND EVENTUALLY TAKING THE SERIES 24 TO ENSURE REGULATORY COMPLIANCE WITHIN THE OFFICE; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/28/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE:10/2024, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: MANAGE BUSINESS EXPENSES AND FOR TAX REPORTING PURPOSES; 4. NAME OF OTHER BUSINESS: B & A FINANCIAL INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: EXPENSE MANAGEMENT; 5. NAME OF OTHER BUSINESS: L&J FINANCIAL DBA VALLEY FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2022, 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 Brooks Randolph'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5757 Pacific Ave Ste 248, Stockton, CA 95207RIA
CRD#: 105644
STOCKTON, CA
Current
August 28, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5757 Pacific Ave Ste 248, Stockton, CA 95207BD
CRD#: 13572
Stockton, CA
Past
January 12, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
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
California(7/25/2022)
IAR
California(6/29/2023)
RR
Colorado(4/25/2024)
RR
Florida(2/22/2024)
RR
Nevada(12/6/2024)
RR
Utah(3/22/2024)
RR
Virginia(2/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 105644Stockton, CA 95207TRUST BUT VERIFY
Monitor Brooks Randolph
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
