EA
Enrique J. Aizcorbe
CETERA INVESTMENT SERVICES LLC
St Cloud, MN 56301
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CRD#: 1330123
EA
Professional summary
Enrique Jesus Aizcorbe, who also goes by Ric Aizcorbe, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota and CETERA WEALTH SERVICES, LLC located in St Cloud, Minnesota.
Enrique is registered as a RR (Registered Representative) and started their career in finance in 1986. Enrique has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ric Aizcorbe
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 Enrique Jesus Aizcorbe'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
March 23, 1993 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Current
April 25, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 13572
St Cloud, MN
Current
April 25, 2012 - Present
CETERA ADVISORS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 10299
St Cloud, MN
Current
April 26, 2012 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 10358
St Cloud, MN
Past
November 13, 2015 - November 8, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
ST. CLOUD, MN
Past
June 5, 1990 - November 15, 1990
WESTONKA INVESTMENTS, INC.
BD
CRD#: 15542
MINNETONKA, MN
Past
June 4, 1986 - June 7, 1988
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
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
Alabama(4/6/1993)
RR
Arizona(1/6/1997)
RR
Arkansas(4/8/1993)
RR
California(4/6/1993)
RR
Colorado(4/6/1993)
RR
Florida(4/8/1993)
RR
Georgia(4/6/1993)
RR
Illinois(4/6/1993)
RR
Indiana(4/6/1993)
RR
Iowa(4/6/1993)
RR
Kansas(4/6/1993)
RR
Kentucky(4/6/1993)
RR
Louisiana(4/13/1993)
RR
Maryland(4/6/1993)
RR
Massachusetts(4/6/1993)
RR
Michigan(4/6/1993)
RR
Minnesota(3/23/1993)
RR
Mississippi(1/7/1997)
RR
Missouri(4/7/1993)
RR
Montana(4/6/1993)
RR
Nebraska(4/6/1993)
RR
Nevada(4/6/1993)
RR
New Mexico(4/6/1993)
RR
New York(4/6/1993)
RR
North Dakota(4/8/1993)
RR
Ohio(4/7/1993)
RR
Oklahoma(4/7/1993)
RR
Oregon(4/6/1993)
RR
Pennsylvania(4/6/1993)
RR
South Carolina(4/8/1993)
RR
South Dakota(4/6/1993)
RR
Tennessee(1/6/1997)
RR
Texas(4/6/1993)
RR
Virginia(4/6/1993)
RR
Washington(4/6/1993)
RR
West Virginia(4/6/1993)
RR
Wisconsin(4/12/1993)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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 FINANCIAL SPECIALISTS LLC
CRD#: 10358St Cloud, MN 56301TRUST BUT VERIFY
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