Dee R. Broadbent
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.
Dee Richard Broadbent was a registered financial professional .
Dee is a previously registered financial professional and started their career in finance in 1986. Dee had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - December 31, 2016
CETERA ADVISORS LLC
January 18, 2008 - December 31, 2010
PACIFIC WEST SECURITIES, INC.
March 7, 2007 - January 28, 2008
CAPITAL FINANCIAL SERVICES, INC.
November 29, 2000 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
March 28, 1997 - November 30, 2000
BRECEK & YOUNG ADVISORS, INC.
March 18, 1994 - March 24, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 24, 1994 - March 24, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 8, 1994 - March 9, 1994
CETERA WEALTH SERVICES, LLC
December 8, 1993 - February 9, 1994
ROBERT W. BAIRD & CO. INCORPORATED
December 8, 1993 - February 9, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 26, 1992 - November 30, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 23, 1990 - March 30, 1992
RELIASTAR FINANCIAL MARKETING CORP.
October 26, 1988 - November 28, 1989
TITAN/VALUE EQUITIES GROUP, INC.
April 15, 1987 - October 29, 1988
RELIASTAR FINANCIAL MARKETING CORP.
June 16, 1986 - April 8, 1987
TRANSAMERICA FINANCIAL ADVISORS, 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.
