Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JONI MAEMARIE DEAKINS
JONI DEAKINS, JOAN MAEMARIE HUNTER
CRD#: 5513421
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 16133 Ventura Blvd.
STE 700
Encino, CA 91436
STE 700
Encino, CA 91436
CETERA ADVISOR NETWORKS LLCCRD#: 13572 16133 Ventura Blvd.
STE 700
Encino, CA 91436
STE 700
Encino, CA 91436
View By:
7/10/2024
Judgment / Lien
State Registrations
B
California 12/5/2022
B
Oregon 12/5/2022
IA
California 6/29/2023
B
Texas 12/5/2022
B
Colorado 12/5/2022
IA
Texas 6/29/2023
B
Georgia 12/5/2022
B
Utah 12/5/2022
B
New Mexico 12/5/2022
B
Washington 12/5/2022
B
New York 12/5/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 12/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2022 - 06/29/2023 | Encino, CA | |
IA | 05/09/2022 - 12/13/2022 | ENCINO, CA | |
B | 12/17/2013 - 12/13/2022 | ENCINO, CA | |
B | 01/06/2012 - 12/18/2013 | SHERMAN OAKS, CA | |
B | 07/23/2008 - 01/06/2012 | WOODLAND HILLS, CA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.