Jesse F. Cardiel
Professional summary
Jesse Frank Cardiel, who also goes by Jesse Cardiel, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Livermore, California.
Jesse is registered as a RR (Registered Representative) and started their career in finance in 1988. Jesse has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jesse Frank Cardiel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
August 26, 2011 - April 20, 2022
FFEC WEALTH PARTNERS LLC
December 18, 2000 - August 29, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
March 9, 1999 - December 18, 2000
NORTH COAST SECURITIES CORPORATION
December 5, 1995 - December 22, 1998
BIRCHTREE FINANCIAL SERVICES LLC
November 9, 1994 - December 30, 1995
WALDRON & CO., INC.
December 7, 1993 - October 3, 1994
GRIFFIN FINANCIAL SERVICES
May 14, 1992 - November 29, 1993
SECURITIES AMERICA, INC.
March 14, 1991 - May 5, 1992
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
January 23, 1991 - April 24, 1991
CALIFORNIA ONE INVESTMENTS
September 12, 1990 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
June 26, 1989 - June 13, 1990
ASB FINANCIAL SERVICES
May 9, 1988 - February 8, 1989
AGFC INVESTMENT SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/20/2022)
(6/28/2024)
(4/20/2022)
(4/20/2022)
(4/20/2022)
(4/20/2022)
(1/10/2025)
(4/20/2022)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| 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 | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
