Raja S. Aanand
Professional summary
Raja Sami Aanand, CFP®, who also goes by Raja Anand, Raja Ananthakrishnan, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Bartlett, Illinois.
Raja is registered as a RR (Registered Representative) and started their career in finance in 1985. Raja has worked at 6 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 Raja Sami Aanand's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1989
Experience
December 11, 1993 - Present
CETERA FINANCIAL SPECIALISTS LLC
February 9, 1993 - October 21, 1993
CAL FED INVESTMENTS
October 2, 1990 - February 3, 1993
WATERSTONE FINANCIAL GROUP, INC.
September 12, 1989 - February 13, 1990
HORNOR, TOWNSEND & KENT, LLC
February 10, 1988 - September 14, 1989
WALL STREET FINANCIAL INC.
July 22, 1985 - September 27, 1989
INLAND SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/28/2015)
(1/5/2013)
(1/4/2016)
(12/11/1993)
(1/4/2010)
(2/13/2019)
(1/2/2019)
(12/4/2001)
(9/6/2019)
(3/11/1998)
(10/30/2006)
(10/30/2006)
(2/25/2008)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
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
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