JF
Jennifer D. Faulconer
CETERA INVESTMENT ADVISERS LLC
WENATCHEE, WA 98801
Some features on this profile are disabled
CRD#: 7576941
JF
Professional summary
Jennifer Denise Faulconer, who also goes by Jennifer D Babcock, Jennifer Denise Babcock, Jennifer Babcock, Jennifer D Faulconer, Jennifer Faulconer, Jennifer D Henley, Jennifer Denise Henley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wenatchee, Washington and CETERA WEALTH SERVICES, LLC located in Wenatchee, Washington.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Jennifer has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennifer D Babcock | Jennifer Denise Babcock | Jennifer Babcock | Jennifer D Faulconer | Jennifer Faulconer | Jennifer D Henley | Jennifer Denise Henley
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) WENATCHEE VALLEY COLLEGE FOUNDATION POSITION: Board Member NATURE: I serve on the Board of Directors of the Wenatchee Valley College Foundation, a non-profit organization that raises funds to support the student body, faculty, and staff of Wenatchee Valley College. The student body is supported by scholarships and other funds raised to help the student pay for non-school expenses, such as rent, gas, and childcare. The faculty and staff is supported by funds to cover continuing education, seminars, and courses that enhance their professional knowledge, skills, and abilities. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2022; 1300 Fifth St, Wenatchee WA 98801, Serve on the finance committee, including reviewing Foundation financial statements and providing oversight of Foundation finance activities. Reviewing the financial statements prepared by an external audit firm for accuracy and completeness. Providing general Foundation oversight and governance as part of the board at large. 2) CANCER CARE OF NCW POSITION: Advisory Member-Finance Committee NATURE: Cancer Care of NCW is a non-profit organization located in Wenatchee that provides a free or low-cost place for cancer patients currently undergoing treatment to stay while receiving treatments at Wenatchee area clinics. Typically users are from outlying areas, such as Omak, Winthrop, Moses Lake, etc. They also raise funds through donations and contributions to provide social support to those same patients for items such as food and gas assistance, or assistance with paying living costs such as rent and utilities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2017; 1708 Castlerock Ave, Wenatchee WA 98801, Meet twice per year to create and review operating and capital budget. This is the extent of my duties. 3) CORDELL, NEHER & COMPANY PLLC POSITION: CPA-Manager NATURE: I am a certified public accountant in a public accounting firm, assisting clients will tax preparation, financial statement audits, general consulting, and bookkeeping services. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/12/2013 175 E. Penny Road, Suite 1, Wenatchee WA 98801, Prepare and review tax returns, prepare and review financial statements for attest clients, assist clients with general accounting needs, providing bookkeeping services, including payroll processing. 4) CNC FINANCIAL GROUP POSITION: Referring Representative NATURE: Investment Advisory Services INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/26/2023; 175 E. Penny Road, Suite 1, Wenatchee WA 98801, Provide investment advice in conjunction with CNCFG personnel and make sure that investment strategy is in line with tax strategy.
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Denise Faulconer'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 175 E Penny Rd Suite 1, Wenatchee, WA 98801RIA
CRD#: 105644
WENATCHEE, WA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 E. Penny Road Suite 1, Wenatchee, WA 98801BD
CRD#: 13572
WENATCHEE, WA
Past
January 26, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Wenatchee, WA
Past
December 5, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WENATCHEE, WA
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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
IAR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2022
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
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#: 105644Wenatchee, WA 98801TRUST BUT VERIFY
Monitor Jennifer Faulconer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
