Edward H. Leibowitz
Professional summary
Edward Herbert Leibowitz is a registered financial professional currently at CETERA ADVISORS LLC located in Gladstone, New Jersey.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1984. Edward has worked at 18 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Edward Herbert Leibowitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2023 - Present
CETERA ADVISORS LLC
Office #1: 240 Main Street, Suite 200, Gladstone, NJ 07934September 12, 2008 - May 15, 2023
AMERITAS INVESTMENT COMPANY, LLC
December 15, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
May 2, 2002 - November 20, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 17, 2001 - April 30, 2002
WOODBURY FINANCIAL SERVICES, INC.
February 29, 2000 - February 7, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
February 17, 2000 - April 30, 2001
OGILVIE SECURITY ADVISORS CORPORATION
October 1, 1997 - February 15, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
July 7, 1995 - October 1, 1997
USLIFE EQUITY SALES CORP.
January 17, 1994 - July 7, 1995
MONY SECURITIES CORPORATION
February 13, 1992 - November 2, 1993
REICH & CO., INC.
August 20, 1991 - December 31, 1991
NATHAN & LEWIS SECURITIES, INC.
March 7, 1990 - February 20, 1992
1717 CAPITAL MANAGEMENT COMPANY
November 19, 1989 - March 14, 1990
OSAIC WEALTH, INC.
February 2, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 14, 1988 - June 15, 1988
LEHMAN BROTHERS INC.
February 16, 1988 - February 7, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1984 - May 14, 1988
E. F. HUTTON & COMPANY 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
(5/2/2023)
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Exams
FINRA
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.
