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Detailed Report
DERON DON FLOREY
CRD#: 2163653
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1702 E HIGHLAND AVE
SUITE 204
PHOENIX, AZ 85016
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1702 E. HIGHLAND AVE
SUITE 204
PHOENIX, AZ 85016
Registration History
19952000200520102015202020252 FIRMS1991 - 1992 (1 year)2 FIRMS2022 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2009 - 2022 (13 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1998 - 2006 (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1992 - 1996 (3 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2012 - 2022 (10 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2009 - 2011 (2 years)
License(s)

State Registrations

B
Arizona 5/2/2022
IA
Texas 5/2/2022
IA
Arizona 5/4/2022
B
Utah 5/2/2022
B
California 5/2/2022
B
Washington 5/2/2022
B
Texas 5/2/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1702 E HIGHLAND AVE SUITE 204, PHOENIX, AZ 85016
Registered with this firm since 5/2/2022
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1702 E. HIGHLAND AVE SUITE 204, PHOENIX, AZ 85016
Registered with this firm since 5/2/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2012 - 05/11/2022 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) PHOENIX, AZ
B
 02/09/2009 - 05/11/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
IA
 02/19/2009 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
B
 01/28/1998 - 04/17/2006 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
B
 12/02/1992 - 05/13/1996 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 07/31/1991 - 08/07/1992 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 07/31/1991 - 08/07/1992 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.