Jennifer O. Whittaker
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.
Jennifer Owens Whittaker, who also goes by Jenna Owens, Jennifer Bass Owens, Jennifer Bass Sears, Jenna Whittaker, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1991. Jennifer had worked at 17 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 22, 2023 - December 20, 2024
CETERA INVESTMENT ADVISERS LLC
June 20, 2023 - December 20, 2024
CETERA INVESTMENT SERVICES LLC
June 20, 2023 - December 20, 2024
CETERA FINANCIAL SPECIALISTS LLC
June 20, 2023 - December 20, 2024
CETERA ADVISORS LLC
June 20, 2023 - December 20, 2024
CETERA WEALTH SERVICES, LLC
October 17, 2022 - April 12, 2023
RETIREONE INVESTMENT SERVICES, LLC
May 18, 2022 - October 27, 2022
LPL FINANCIAL LLC
May 18, 2022 - October 27, 2022
LPL FINANCIAL LLC
February 1, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 20, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
March 20, 2019 - June 16, 2020
PARSEC FINANCIAL
April 17, 2017 - March 27, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
April 14, 2017 - March 27, 2019
ALLSTATE FINANCIAL SERVICES, LLC
January 21, 2014 - February 24, 2017
FIFTH THIRD SECURITIES, INC.
September 18, 2013 - February 24, 2017
FIFTH THIRD SECURITIES, INC.
August 25, 2003 - September 17, 2013
ALLSTATE FINANCIAL SERVICES, LLC
October 25, 2000 - August 18, 2003
CUNA BROKERAGE SERVICES, INC.
January 4, 1999 - October 31, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 17, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 21, 1995 - July 25, 1997
UCB INVESTOR SERVICES, INC.
February 3, 1993 - August 14, 1995
FIRST UNION BROKERAGE SERVICES, INC.
November 19, 1991 - September 11, 1992
UBS FINANCIAL 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 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.
