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Robin M. Wolfgram

Some features on this profile are disabled
CRD#: 2223962
RW

Professional summary

Robin Michelle Wolfgram was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robin is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Robin had worked at 11 firms, which includes CETERA ADVISORS LLC, FOOTHILL SECURITIES INC., LPL FINANCIAL LLC, CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., INVESTMENT ADVISORS INTERNATIONAL INC., WORLD GROUP SECURITIES INC., 1ST GLOBAL ADVISORS INC, 1ST GLOBAL CAPITAL CORP., INVESTMENT RESOURCES NETWORK INC., KEYBANC CAPITAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robin Michelle Ragley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 1, 2013 - March 19, 2015

CETERA ADVISORS LLC

RIA
CRD#: 10299
CAMPBELL, CA
Past

November 1, 2013 - March 19, 2015

CETERA ADVISORS LLC

BD
CRD#: 10299
CAMPBELL, CA
Past

August 8, 2013 - November 1, 2013

FOOTHILL SECURITIES, INC.

RIA
CRD#: 1027
CAMPBELL, CA
Past

August 7, 2013 - November 1, 2013

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
CAMPBELL, CA
Past

October 11, 2012 - August 21, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
CAMPBELL, CA
Past

October 10, 2012 - August 21, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
CAMPBELL, CA
Past

February 4, 2011 - November 6, 2012

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
SAN JOSE, CA
Past

February 3, 2011 - November 6, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
SAN JOSE, CA
Past

April 21, 2010 - February 4, 2011

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
SAN JOSE, CA
Past

February 23, 2010 - December 31, 2010

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
SAN JOSE, CA
Past

July 14, 2008 - August 6, 2009

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
CHICO, CA
Past

April 21, 2008 - August 6, 2009

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
CHICO, CA
Past

April 9, 1999 - December 19, 2006

CETERA ADVISORS LLC

BD
CRD#: 10299
DENVER, CO
Past

June 24, 1997 - March 16, 1999

INVESTMENT RESOURCES NETWORK, INC.

BD
CRD#: 25069
DENVER, CO
Past

June 4, 1993 - August 21, 1996

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/6/2000
Municipal Securities Principal Examination

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
FRIES, MATTHEW NEIL KALANIVICE PRESIDENT2723824
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event14
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA ADVISORS LLC

CRD#: 10299

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