Colorado Springs, CO Office

Team
Updated today
Cetera logo

Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,182

Across 5,098 offices

Clients per advisor

79 Low

Avg AUM per client

$306,089 Low

HNW client ratio

10% Low

About

Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.

The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.

Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.

Based on Cetera

Expertise

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy

Based on Cetera

Occupation focus

Founder/Business Owner Executive

Based on Cetera

Location

Colorado Springs CO

Advisors at this office

6

Advisors at this office

user avatar

Ashley P

Series 63, Series 65

Colorado Springs, CO

Cetera

Ashley Parks is a financial advisor with Cetera in Colorado Springs, CO, holding Series 63 and Series 65 credentials and bringing 26 years of industry experience. Prior to joining Cetera in 2023, Parks was affiliated with Martin Financial Group since 1999 and held roles with Securian Financial Services, Inc. and Minnesota Life Insurance Company. Parks is also the owner of a book publishing business. Cetera Investment Advisers LLC is an SEC-registered firm serving individual, employer-sponsored, corporate, charitable, and institutional clients through a network of independent advisors. The firm offers a multi-manager platform with diverse portfolio management options, including discretionary and non-discretionary services, and oversees over $256 billion in assets.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Todd T

Series 63, Series 65

Colorado Springs, CO

Cetera

Todd Tolbert is a financial advisor at Cetera with 18 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Cetera and Cetera Wealth Services since 2025. Prior to that, he worked at Concourse Financial Group Securities Inc for 18 years and operates Bolder Investment Group LLC, a business focused on investment and insurance planning. Outside of advising, he is a part owner of Burning Triangle Productions, a production company associated with his son, and serves as a board member of the Georgia State Board of Accountancy. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to various third-party money managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Jennifer H

CFP®, Series 63, Series 65

Colorado Springs, CO

Cetera

Jennifer Hicks is a CFP® with 29 years of industry experience. She has been with Cetera since 2013 and holds Series 63 and Series 65 licenses. Hicks also operates IRM Solutions, doing business as Purpose Planning Inc., and works as an insurance agent selling life, annuities, and long-term care products. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, retirement plans, corporate and charitable clients, and institutional accounts nationwide. The firm offers a range of portfolio management and financial planning services through a multi-manager platform with over 10,000 advisors and $256 billion in assets under management.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Buster S

Series 63, Series 65

Colorado Springs, CO

Cetera

Buster Shepherd is a financial advisor with Cetera who holds Series 63 and Series 65 credentials and has 44 years of industry experience. He previously worked at VOYA Financial Advisors from 2014 to 2021 and has been with Cetera and Cetera Wealth Services since 2021. Shepherd also serves as an independent insurance agent and owns Summit Region LLC, which supports his role as a family caregiver. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with various portfolio management options and supervisory services across multiple program structures and custodial relationships.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Thomas B

Series 66

Colorado Springs, CO

Cetera

Thomas Brown is a Series 66-licensed financial advisor based in Colorado Springs, CO, with 21 years of industry experience. He has worked with multiple Cetera entities and other firms including Summit Brokerage Services, First Allied Securities, and Girard Securities, among others. He is currently with Cetera, a firm that serves a broad client base including individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. Cetera offers a multi-manager platform featuring discretionary and non-discretionary portfolio management, financial planning, and access to both affiliated and unaffiliated third-party money managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Nohemy M

Series 66

Colorado Springs, CO

Cetera

Nohemy Montes is a Series 66-credentialed financial advisor with over 21 years of industry experience. She is currently affiliated with Cetera and has held various roles in financial and insurance services, including ownership of multiple firms such as Mont Wealth Financial Advisors and Nohemy Montes, LLC. Outside of her financial services work, she engages in motivational speaking and writing on lifestyle topics. Cetera Investment Advisers LLC is a nationwide SEC-registered firm serving individual, corporate, retirement plan, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services through a multi-manager platform, supporting various program structures and investment options.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
View complete list of advisors at this office
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