Houston, TX West Loop South Office

Team
Updated today
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,190

Across 5,086 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

1001 West Loop South, Suite 602

Houston TX 77027

Advisors at this office

6

Advisors at this office

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John W

CFP®, ChFC®, Series 63, Series 66

Houston, TX

Cetera

John Wheeler Jr. is a CFP® and ChFC® with 32 years of industry experience, currently affiliated with Cetera. His career includes long-term roles at Mass Mutual Investors Services and Massmutual Life Insurance Company, as well as maintaining Wheeler & Associates and Gulf Coast Insurance Services since 1969. He holds leadership roles in nonprofit organizations, including serving as president-elect and secretary for NAIFA. Cetera Investment Advisers LLC is a large nationwide network of independent advisors serving individual, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and retirement services, operating a multi-manager platform that allows advisors to use affiliated and third-party managers across various program structures.

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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James S

Series 65, Series 63

Houston, TX

Cetera

James Starnes Jr. is a financial advisor with Cetera, holding Series 65 and Series 63 licenses and bringing one year of industry experience. Prior to Cetera, he worked at Mass Mutual and has been involved in baseball coaching as an independent contractor. He also serves as a registered administrative assistant at Totus Wealth Management. Cetera Investment Advisers LLC serves a diverse client base including individuals, retirement plans, and institutional accounts, offering a range of portfolio management and retirement services. The firm operates a multi-manager platform that provides advisors access to affiliated and third-party investment models and strategies.

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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John A

Series 63, Series 66

Houston, TX

Cetera

John Ashley is a financial professional at Cetera with 27 years of industry experience. He holds Series 63 and Series 66 licenses and has previously worked at Mass Mutual and MetLife. Outside of his advisory role, he serves on the board of a nonprofit organization assisting families traveling for children's medical care and is involved in aluminum patio cover sales. Cetera Investment Advisers LLC is an SEC-registered firm serving individual, retirement plan, corporate, charitable, and institutional clients. The firm offers a range of portfolio management and financial planning services through a nationwide network of advisors and uses a multi-manager platform with various program options and affiliated third-party 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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Sammy S

CFP®, ChFC®, Series 63, Series 65

Houston, TX

Cetera

Sammy Salek is a CFP® and ChFC® with 15 years of experience in the financial services industry. He is currently affiliated with Cetera and has held roles at Cetera Advisors LLC and Totus Wealth Management since 2021. Outside of his advisory work, Salek serves on the parish council of Forty Holy Martyrs Orthodox Church and holds a leadership role as Secretary/Treasurer for NAIFA Houston. Cetera Investment Advisers LLC is an SEC-registered firm that serves a broad client base, including individuals, retirement plans, and institutional accounts. It offers a multi-manager platform with a variety of discretionary and non-discretionary investment programs, incorporating both affiliated and third-party 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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James S

CFP®, Series 63, Series 65

Houston, TX

Cetera

James Starnes is a CFP® with 25 years of experience in financial advising, currently serving at Cetera. His career includes roles at several firms such as Mass Mutual Investors Services, Metlife Securities, UBS Financial Services, Morgan Stanley, and Citigroup Global Markets. Outside of his advisory work, he owns and operates multiple businesses including insurance agencies and an entity involved in the ownership and sale of recreational vehicles and automobiles. Cetera Investment Advisers LLC is an SEC-registered adviser serving a broad client base, including individuals, employer-sponsored retirement plans, and institutional accounts. The firm offers diverse portfolio management and financial planning services through a multi-manager platform that supports model portfolios, third-party managers, and customized strategies.

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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Latafath H

Series 63, Series 66

Houston, TX

Cetera

Latafath Hussain is a financial advisor with Cetera in Houston, TX, holding Series 63 and Series 66 designations and bringing 22 years of industry experience. Her career includes roles at MassMutual, MetLife Securities, and her own firm, Latafath Hussain Financial Services, LLC. Outside of financial services, she is involved in agricultural activities through Zabie's Farm, where she helps supervise vegetable growing and livestock care. Cetera Investment Advisers LLC is an SEC-registered firm that provides a multi-manager platform serving individuals, retirement plans, and institutional clients with discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers across various program structures.

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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