Jay C. Fenstermacher
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.
Jay Clarke Fenstermacher was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1973. Jay had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 7, 2023
CETERA INVESTMENT ADVISERS LLC
November 1, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 1, 2017 - December 7, 2023
CETERA WEALTH SERVICES, LLC
August 23, 2002 - November 1, 2017
GIRARD SECURITIES, INC.
August 23, 2002 - November 1, 2017
GIRARD SECURITIES, INC.
August 10, 2000 - September 5, 2002
SPELMAN & CO., INC.
September 4, 1990 - August 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 15, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 19, 1978 - June 6, 1989
KIDDER, PEABODY & CO. INCORPORATED
September 21, 1973 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 9/17/1973
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
