Astrid S. Reinis
Professional summary
Astrid Sylvia Reinis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Astrid is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Astrid had worked at 8 firms, which includes CETERA WEALTH SERVICES LLC, CENTAURUS FINANCIAL INC., SII INVESTMENTS INC., CROWN CAPITAL SECURITIES L.P., WAMU INVESTMENTS INC., GRIFFIN FINANCIAL SERVICES, MORGAN STANLEY DW INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2010 - August 29, 2012
CETERA WEALTH SERVICES, LLC
July 1, 2010 - August 29, 2012
CETERA WEALTH SERVICES, LLC
October 6, 2009 - February 16, 2010
CENTAURUS FINANCIAL, INC.
October 6, 2009 - February 16, 2010
CENTAURUS FINANCIAL, INC.
April 10, 2008 - October 12, 2009
SII INVESTMENTS, INC.
April 10, 2008 - October 12, 2009
SII INVESTMENTS, INC.
February 8, 2002 - April 30, 2008
CROWN CAPITAL SECURITIES, L.P.
June 27, 2001 - April 30, 2008
CROWN CAPITAL SECURITIES, L.P.
January 1, 1999 - November 7, 2000
WAMU INVESTMENTS, INC.
April 7, 1995 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
June 2, 1993 - August 4, 1994
MORGAN STANLEY DW INC.
January 13, 1992 - July 24, 1992
CHATFIELD DEAN & CO., 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.
