Nina S. Jessee
Professional summary
Nina Sue Jessee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nina is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Nina had worked at 8 firms, which includes CETERA ADVISORS LLC, INVESTORS CAPITAL CORP., INVESTORS FINANCIAL PLANNING INC., EASTERN POINT ADVISORS INC., FINANCIAL SECURITIES NETWORKINC., ARAGON FINANCIAL SERVICES INC., MARKETING ONE SECURITIES INC., MUTUAL OF OMAHA INVESTOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2016 - December 31, 2017
CETERA ADVISORS LLC
October 3, 2016 - November 29, 2017
CETERA ADVISORS LLC
August 2, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
June 11, 2004 - December 31, 2005
INVESTORS FINANCIAL PLANNING, INC.
February 4, 2004 - August 1, 2005
EASTERN POINT ADVISORS INC.
February 17, 1993 - October 3, 2016
INVESTORS CAPITAL CORP.
February 19, 1992 - January 25, 1993
FINANCIAL SECURITIES NETWORK,INC.
March 29, 1989 - December 24, 1991
ARAGON FINANCIAL SERVICES, INC.
February 14, 1989 - April 5, 1989
MARKETING ONE SECURITIES, INC.
March 25, 1986 - December 20, 1988
MUTUAL OF OMAHA INVESTOR SERVICES, 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
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