Dee D. Whittier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dee David Whittier was a registered financial professional .
Dee is a previously registered financial professional and started their career in finance in 1982. Dee had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - March 5, 2015
CETERA ADVISORS LLC
December 13, 2013 - March 5, 2015
CETERA ADVISORS LLC
January 21, 2010 - December 13, 2013
ON INVESTMENT MANAGEMENT CO
January 21, 2010 - December 13, 2013
THE O.N. EQUITY SALES COMPANY
September 23, 2009 - December 22, 2009
AMERICAN INVESTMENT SERVICES
July 17, 2006 - December 31, 2009
SECURITIES AMERICA ADVISORS, INC.
July 5, 2006 - December 31, 2009
SECURITIES AMERICA, INC.
January 19, 2006 - June 29, 2006
EQUITY SERVICES, INC.
December 18, 2003 - December 31, 2005
EQUITY SERVICES, INC.
September 6, 2002 - December 12, 2003
METROPOLITAN FINANCIAL SERVICES, INC.
September 6, 2002 - December 12, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
July 18, 2002 - September 25, 2002
NEW ENGLAND SECURITIES
April 13, 2001 - September 25, 2002
NEW ENGLAND SECURITIES
May 30, 1989 - April 11, 2001
OSAIC FA, INC.
April 5, 1989 - May 31, 1989
LPL FINANCIAL LLC
January 24, 1989 - April 11, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 9, 1988 - April 17, 1989
OSAIC FA, INC.
March 2, 1988 - December 13, 1988
EAGLE POINTE SECURITIES
July 10, 1987 - February 23, 1988
FPI SECURITIES, INC.
November 25, 1985 - July 28, 1987
VERAVEST INVESTMENTS, INC.
November 16, 1984 - September 9, 1985
WARNER BECK INCORPORATED
February 15, 1984 - January 25, 1985
OSAIC FA, INC.
December 22, 1982 - April 2, 1984
SECURITIES MANAGEMENT & RESEARCH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
