Dean V. Lichter
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.
Dean Vincent Lichter was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1983. Dean had worked at 18 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2007 - October 2, 2012
CETERA ADVISORS LLC
July 18, 2007 - October 2, 2012
CETERA ADVISORS LLC
June 4, 2007 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
October 22, 1998 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
October 2, 1997 - September 30, 1998
SAN CLEMENTE SECURITIES, INC.
July 14, 1994 - June 30, 1997
BROOKSTREET SECURITIES CORPORATION
May 17, 1994 - July 8, 1994
WILLIAM LAWRENCE SECURITIES, INC.
December 21, 1993 - April 20, 1994
ROBERT SCOTT SECURITIES, INC.
September 11, 1992 - November 16, 1993
VESTCORP SECURITIES, INC.
December 11, 1991 - September 11, 1992
BROKERS INVESTMENT CORPORATION
July 2, 1991 - November 22, 1991
QUEST CAPITAL STRATEGIES, INC.
July 10, 1990 - October 4, 1990
SECURITIES RESOLUTION CORPORATION
May 4, 1990 - July 16, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
February 15, 1990 - May 8, 1990
INVEST FINANCIAL CORPORATION
May 9, 1989 - January 8, 1990
CROWELL, WEEDON & CO.
November 9, 1988 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 30, 1987 - November 16, 1988
MORGAN STANLEY DW INC.
February 25, 1986 - May 8, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 11, 1984 - February 28, 1986
SECURITIES RESOLUTION CORPORATION
October 20, 1983 - August 31, 1984
BIRR, WILSON & CO., 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.
