CETERA ADVISORS LLC has recently submitted a MA-I filing, marking a significant update regarding its municipal advisory registration. This filing, dated September 29, 2026, and officially submitted on October 20, 2026, is crucial for maintaining compliance with regulatory standards in the financial services sector.
Background
CETERA ADVISORS LLC, incorporated in Delaware, operates primarily in the financial services industry. The company has undergone several name changes, previously known as MULTI-FINANCIAL SECURITIES CORPORATION. The firm is headquartered in Greenwood Village, Colorado, and has been active in the advisory space since at least 2013.
What the Filing Says
The filing indicates that Scott Barrett Hoxie is the applicant for the municipal advisor registration. The document states, "The filing does not say what happens next." This suggests that further actions or updates may be forthcoming as CETERA navigates its regulatory obligations.
Impact
This update may affect CETERA's operations and its relationships with clients and regulatory bodies. As the firm continues to adapt to compliance requirements, it may also influence how other firms in the financial services sector approach municipal advisory services.
What's Next
The filing does not say what happens next.
Applicant Details
Scott Barrett Hoxie, the applicant for the municipal advisor registration, has been associated with CETERA ADVISORS LLC since October 2013. His CRD number is 5107524, indicating his registration with the Financial Industry Regulatory Authority (FINRA).
Employment and Business Activities
In addition to his role at CETERA ADVISORS LLC, Hoxie has been involved in other business activities. He is the owner of a personal rental property business that commenced in March 2026 and manages assets through HAWK EYE LLC, which started operations in July 2026. Both businesses are located in Oceanside, California, and are not related to municipal advisory services.
Disclosure Information
The filing reveals that Hoxie has no criminal convictions or pending charges, nor has he been involved in any regulatory violations or complaints. This clean record may bolster CETERA's reputation as it seeks to fulfill its advisory obligations.
Contact Information
The filing includes contact details for Amanda Vizcarra, who serves as the Deputy Chief Compliance Officer. She can be reached at 310-257-7446 or via email at amanda.vizcarra@cetera.com. This information may be useful for stakeholders seeking clarification or further details regarding the filing.
Conclusion
The MA-I filing provides a snapshot of CETERA ADVISORS LLC's compliance efforts and the regulatory landscape it operates within. However, the filing does not include specific future steps or timelines for the registration process.