JT
Jerome W. Tisser
CETERA FINANCIAL SPECIALISTS LLC
EXETER, RI
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CRD#: 1644329
JT
Professional summary
Jerome William Tisser, who also goes by Jerry Tisser, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Exeter, Rhode Island.
Jerome is registered as a RR (Registered Representative) and started their career in finance in 1987. Jerome has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jerry Tisser
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) TRUSTEE/POWER OF ATTORNEY FOR FAMILY MEMBERS, NOT INVESTMENT RELATED, EXETER, RI, 1H/WEEK, SINCE 01/1996 2) FIXED INSURANCE, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SALES OF LIFE INSURANCE, INDEXED UNIVERSAL LIFE, HEALTH INSURANCE, DISABILITY INSURANCE, FIXED ANNUITIES, LONG-TERM CARE INSURANCE, 10H/WEEK, 7H/WEEK DURING TRADING HOURS, SINCE 07/1986 3) RENTAL INCOME, INVESTMENT RELATED, THE VILLAGES, FL, OWNER, COLLECT RENT, 1H/WEEK, SINCE 03/2009. 4) IVY WEALTH MANAGEMENT, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INSURANCE AND INVESTMENTS, SINCE 01/2023, 10H/WEEK. 5) THE PATRIOT FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SEC REGISTERED INVESTMENT ADVISER, FINANCIAL PLANNING, RETIREMENT P LANNING, SINCE 12/2023.
CRS (Client Relationship Summary) - BD
Click below to view Jerome William Tisser's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 9, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
EXETER, RI
Past
May 1, 2023 - November 8, 2023
THE PATRIOT FINANCIAL GROUP, LLC
RIA
CRD#: 172470
West Warwick, RI
Past
January 1, 2002 - January 5, 2023
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CRANSTON, RI
Past
October 31, 2001 - January 5, 2023
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
CRANSTON, RI
Past
January 5, 1998 - November 2, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 24, 1997 - December 31, 1997
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
March 11, 1993 - February 3, 1997
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 30, 1987 - February 16, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(1/9/2023)
RR
Massachusetts(1/9/2023)
RR
New York(1/9/2023)
RR
Oregon(1/9/2023)
RR
Rhode Island(1/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
