Aimee W. Chester
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.
Aimee Wall Chester, who also goes by Aimee Jennifer Chester, Aimee Jennifer Wall Chester, Aimee W Chester, Aimee J Wall, was a registered financial professional .
Aimee is a previously registered financial professional and started their career in finance in 1987. Aimee had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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 5, 2024 - January 15, 2026
CETERA INVESTMENT SERVICES LLC
January 2, 2024 - January 15, 2026
CETERA INVESTMENT ADVISERS LLC
January 2, 2020 - January 25, 2023
CETERA INVESTMENT SERVICES LLC
December 19, 2019 - January 25, 2023
CETERA INVESTMENT ADVISERS LLC
October 1, 2015 - February 12, 2019
CETERA INVESTMENT ADVISERS LLC
October 1, 2015 - February 12, 2019
CETERA INVESTMENT SERVICES LLC
April 11, 2014 - April 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 10, 2014 - April 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2011 - December 13, 2013
BB&T INVESTMENT SERVICES, INC.
May 5, 2011 - December 13, 2013
BB&T INVESTMENT SERVICES, INC.
July 6, 2010 - May 6, 2011
TRUIST INVESTMENT SERVICES, INC.
April 12, 2010 - May 6, 2011
TRUIST INVESTMENT SERVICES, INC.
May 7, 2008 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 9, 1997 - December 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1997 - October 7, 1997
AFS BROKERAGE, INC.
February 26, 1990 - April 5, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
October 5, 1987 - January 31, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 21, 1987 - October 3, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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 INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
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 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| 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.
