Trudy L. Leen
Professional summary
Trudy Lynn Leen, AIF® is a registered financial professional currently at CETERA ADVISORS LLC located in Greenwood Village, Colorado.
Trudy is registered as a RR (Registered Representative) and started their career in finance in 1992. Trudy has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Trudy Lynn Leen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2025 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111August 29, 2025 - February 26, 2026
CETERA INVESTMENT ADVISERS LLC
October 27, 2022 - August 29, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 27, 2022 - August 29, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 29, 2017 - November 25, 2022
LPL FINANCIAL LLC
November 29, 2017 - November 25, 2022
LPL FINANCIAL LLC
March 14, 2016 - December 6, 2017
NATIONAL PLANNING CORPORATION
March 14, 2016 - November 29, 2017
NATIONAL PLANNING CORPORATION
March 10, 2015 - March 14, 2016
CETERA INVESTMENT ADVISERS LLC
March 10, 2015 - March 14, 2016
CETERA INVESTMENT SERVICES LLC
May 28, 2004 - March 13, 2015
LPL FINANCIAL LLC
May 28, 2004 - March 13, 2015
LPL FINANCIAL LLC
January 15, 2004 - June 2, 2004
WS GRIFFITH SECURITIES, INC.
January 1, 2001 - December 31, 2003
WS GRIFFITH SECURITIES, INC.
April 10, 1998 - June 2, 2004
WS GRIFFITH SECURITIES, INC.
September 3, 1997 - March 26, 1998
U.S. BANCORP INVESTMENTS, INC.
May 13, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
June 12, 1992 - May 20, 1996
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/29/2025)
(8/29/2025)
(9/5/2025)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| 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 | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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