Brandon L. Chambliss
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.
Brandon Lee Chambliss, who also goes by Lee Chambliss, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 1989. Brandon had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 53, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2025 - April 29, 2025
CETERA INVESTMENT SERVICES LLC
February 25, 2025 - April 29, 2025
CETERA FINANCIAL SPECIALISTS LLC
February 25, 2025 - April 29, 2025
CETERA ADVISORS LLC
February 20, 2025 - April 29, 2025
CETERA WEALTH SERVICES, LLC
June 27, 2022 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 23, 2016 - June 6, 2022
ALPS DISTRIBUTORS, INC.
August 3, 2015 - January 5, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 9, 2015 - January 5, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 8, 2010 - January 5, 2016
INTL ADVISORY CONSULTANTS INC.
December 3, 2009 - January 5, 2016
STONEX SECURITIES INC.
January 8, 2007 - January 5, 2016
STERNE, AGEE & LEACH, INC.
August 14, 2006 - September 14, 2009
INTL ADVISORY CONSULTANTS INC.
November 13, 2002 - August 9, 2006
MORGAN STANLEY DW INC.
July 6, 1999 - August 9, 2006
MORGAN STANLEY DW INC.
May 8, 1998 - June 9, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
August 7, 1995 - April 8, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 7, 1995 - April 8, 1998
OSAIC FA, INC.
August 22, 1989 - January 31, 1990
WADDELL & REED
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| 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 | MANAGER AND VICE PRESIDENT | 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 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
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.
