Houston, TX 2925 Richmond Ave Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Cetera
Institution
Firm-wide stats for Cetera
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
Based on Cetera
Location
2925 Richmond Ave, Sutie 1200
Houston TX 77098
Advisors at this office
3
Advisors at this office
Scott D
Series 66
Houston, TX
Cetera
Scott Dukes is a financial professional with nine years of industry experience, currently affiliated with Cetera. He holds a Series 66 credential and has worked in various roles including positions at Minnesota Life Insurance Co., Securian Financial Services, and North Star Resource Group. Dukes also volunteers with the Houston Livestock Show and Rodeo. Cetera Investment Advisers LLC is an SEC-registered firm that serves a broad range of clients including individuals, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers diverse portfolio management and financial planning services through a nationwide network of independent advisors, utilizing a multi-manager platform with discretionary and non-discretionary program options.
Laura V
CFP®, Series 66
Houston, TX
Cetera
Laura Vaughn is a CFP® with 16 years of experience in financial services. She is currently with Cetera and has previously worked with North Star Consultants, Minnesota Life Insurance Company, and Securian Financial Services. Vaughn serves as a volunteer board member for the Houston Livestock Show and Rodeo School Art Committee. Cetera Investment Advisers LLC is a nationally registered firm with over 10,000 advisors serving individual, corporate, charitable, and institutional clients. The firm offers portfolio management, financial planning, and retirement services through a multi-manager platform with discretionary and non-discretionary program options.
Amanda W
Series 66
Houston, TX
Cetera
Amanda Westwood is a financial professional with five years of industry experience, currently affiliated with Cetera. She holds a Series 66 designation and has worked at firms including North Star Resource Group, Minnesota Life Insurance Company, and Securian Financial Services. In addition to her advisory role, she is involved with North Star Consultants of Texas, providing financial services as a DBA. Cetera Investment Advisers LLC is a large 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 with notable scale and a variety of program structures.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)