Ira A. Rumberg
Professional summary
Ira Allen Rumberg, who also goes by Allen Rumberg, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Apollo Beach, Florida.
Ira is registered as a RR (Registered Representative) and started their career in finance in 1991. Ira has worked at 9 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ira Allen Rumberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2025 - Present
CETERA WEALTH SERVICES, LLC
June 15, 2022 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 21, 2020 - June 21, 2022
OSAIC SERVICES, INC.
May 6, 2004 - June 26, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 1, 1997 - July 10, 2003
OSAIC FS, INC.
December 21, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
February 13, 1995 - December 12, 1995
AMERICAN CLASSIC SECURITIES, INC.
February 5, 1994 - October 26, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
September 10, 1993 - January 18, 1994
AMERICAN CLASSIC SECURITIES, INC.
May 28, 1991 - October 13, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 28, 1991 - October 13, 1991
EQUITABLE ADVISORS, 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
(2/12/2025)
Exams
FINRA
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.
