Dennis G. Loxterman
Professional summary
Dennis Gene Loxterman is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Johnston, Iowa.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1983. Dennis has worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dennis Gene Loxterman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5460 Merle Hay Road J, Johnston, IA 50131October 22, 2009 - February 27, 2012
CPAI, CO.
February 4, 2009 - April 29, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
July 18, 2000 - February 4, 2009
VP DISTRIBUTORS LLC
November 25, 1997 - July 20, 2000
COREBRIDGE CAPITAL SERVICES, INC.
November 21, 1996 - January 7, 1997
MANULIFE WOOD LOGAN, INC.
September 27, 1995 - June 12, 1996
VSR FINANCIAL SERVICES, INC.
April 1, 1993 - June 24, 1994
UNISON CAPITAL GROUP
June 17, 1992 - July 29, 1992
COUSINS SECURITIES CORPORATION
May 10, 1990 - October 19, 1990
CRISPIN KOEHLER SECURITIES
January 15, 1988 - April 10, 1989
A.S.A. INVESTMENT COMPANY
April 14, 1987 - May 21, 1987
LPL FINANCIAL LLC
November 28, 1984 - March 10, 1987
METRIC CAPITAL CORPORATION
June 6, 1983 - November 9, 1984
CITIGROUP GLOBAL MARKETS 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
Series 6TO
Date: 2/25/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| 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 | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Johnston, IA 50131TRUST BUT VERIFY
Monitor Dennis Loxterman
Get automatic monthly alerts on:
