Kimberley A. Holweger
Professional summary
Kimberley Ann Holweger, who also goes by Kimberley Ann Holweger, Kimberley Ann Knudson, Kimberly Ann Knudson, Kinberley Ann Knudson, Kimberley Ann Mohs, 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.
Kimberley is registered as a RR (Registered Representative) and started their career in finance in 1996. Kimberley has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kimberley Ann Holweger's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 1993 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301December 21, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301Office #2: 400 Roberts Street North Suite 800, Saint Paul, MN 55101Office #3: 5299 Dtc Blvd #800, Greenwood Village, CO 80111Office #4: 400 1st St S Ste 300, St Cloud, MN 56301December 21, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301December 21, 2022 - Present
CETERA ADVISORS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301February 19, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
May 4, 2000 - February 22, 2011
GUARANTY BROKERAGE SERVICES, INC.
April 20, 2000 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
August 29, 1996 - November 17, 2009
BANCNORTH INVESTMENT GROUP, 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
(6/23/1993)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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Company Information
CETERA ADVISORS LLC
CRD#: 10299St Cloud, MN 56301TRUST BUT VERIFY
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