DJ
Dennis R. Jones
CETERA ADVISORS LLC
Kalamazoo, MI 49009
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CRD#: 1217641
DJ
Professional summary
Dennis Robert Jones is a registered financial professional currently at CETERA ADVISORS LLC located in Kalamazoo, Michigan.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1983. Dennis has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Dennis Robert Jones's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 23, 2024 - Present
CETERA ADVISORS LLC
Office #1: 5765 Stadium Drive, Kalamazoo, MI 49009BD
CRD#: 10299
Kalamazoo, MI
Past
November 13, 2017 - September 26, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Kalamazoo, MI
Past
May 27, 2008 - November 13, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
KALAMAZOO, MI
Past
April 15, 2003 - May 27, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
KALAMAZOO, MI
Past
August 1, 1997 - April 17, 2003
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 13, 1995 - August 5, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
January 2, 1992 - December 14, 1995
ANDOVER SECURITIES, INC.
BD
CRD#: 16903
KANSAS CITY, MO
Past
December 10, 1987 - December 31, 1991
GENEVA SECURITIES,INC.
BD
CRD#: 16178
SCHAUMBURG, IL
Past
December 19, 1983 - December 17, 1987
PFS INVESTMENTS INC.
BD
CRD#: 10111
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/23/2024)
RR
California(9/23/2024)
RR
Colorado(9/23/2024)
RR
Connecticut(9/23/2024)
RR
Delaware(9/23/2024)
RR
Florida(9/23/2024)
RR
Georgia(9/23/2024)
RR
Idaho(9/23/2024)
RR
Illinois(9/23/2024)
RR
Indiana(9/23/2024)
RR
Kansas(9/23/2024)
RR
Kentucky(9/23/2024)
RR
Maine(9/23/2024)
RR
Massachusetts(9/23/2024)
RR
Michigan(9/23/2024)
RR
Minnesota(9/23/2024)
RR
Montana(9/23/2024)
RR
Nebraska(9/23/2024)
RR
New Hampshire(9/23/2024)
RR
New Mexico(9/23/2024)
RR
New York(9/23/2024)
RR
North Carolina(9/27/2024)
RR
Ohio(9/24/2024)
RR
South Carolina(9/23/2024)
RR
Tennessee(9/23/2024)
RR
Texas(9/23/2024)
RR
Virginia(9/23/2024)
RR
Washington(9/27/2024)
RR
West Virginia(9/23/2024)
RR
Wisconsin(9/23/2024)
RR
Wyoming(9/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA ADVISORS LLC
CRD#: 10299Kalamazoo, MI 49009TRUST BUT VERIFY
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