Colette M. Pooley
Professional summary
Colette Mary Pooley, who also goes by Colette Mary Severson, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Minnetonka, Minnesota.
Colette is registered as a RR (Registered Representative) and started their career in finance in 1992. Colette has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Colette Mary Pooley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10261 Yellow Circle Drive, Minnetonka, MN 55343October 12, 2022 - February 10, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 23, 2018 - October 18, 2021
CRI SECURITIES, LLC
February 23, 2018 - August 3, 2022
SECURIAN FINANCIAL SERVICES, INC.
September 25, 2014 - April 25, 2017
PRUCO SECURITIES, LLC.
March 22, 2000 - August 30, 2000
RBC CAPITAL MARKETS, LLC
June 23, 1999 - February 24, 2000
WELLS FARGO SECURITIES INC.
May 27, 1999 - February 28, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 2, 1998 - April 26, 1999
RBC CAPITAL MARKETS, LLC
April 10, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 23, 1997 - March 21, 1997
PROTECTIVE GROUP SECURITIES CORPORATION
August 12, 1992 - January 4, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2024)
(1/8/2024)
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.
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