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Glenn Kevin Osterhout

CRD# 2303198·Registered 1993 - 2022
Previously Registered: Being a previously registered professional could mean that Glenn is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Glenn Kevin Osterhout, who also goes by Glenn Osterhout, was a registered financial advisor. Glenn was a previously registered financial professional and started their career in finance 1993 - 2022. Glenn had worked at 1 firm and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Glenn Osterhout

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Bellevue, WA
February 10, 1995 - December 31, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Bellevue, WA
April 1, 1993 - December 31, 2022

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Current Firm

CW
CETERA WEALTH SERVICES, LLC

CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS

CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Contact Information

Main Address

2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672

Mailing Address

Po Box 983, Saint Cloud, MN 56302

Phone Number

(800) 879-8100

Established

Delaware since 12/31/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

2,881

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

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
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
OBRIEN, EDWARD DMANAGER2239064
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

192,956

AUM (Assets Under Management)

$46,651,447,975

Disclosures

Regulatory Event

20

Civil Event

2

Arbitration

15

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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.

1. NAME OF OTHER BUSINESS: WASHINGTON STATE UNIVERSITY, INVESTMENT RELATED: NO ADDRESS: 255 E. MAIN ST, SUITE 301, PULLMAN, WA 99164 ; NATURE OF BUSINESS: EDUCATION INSTITUTION ; START DATE: 02/2010 ; POSITION/TITLE/RELATIONSHIP: BOARD OF TRUSTEES, APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: FUNDRAISING & ADVOCATE FOR THE UNIVERSITY; 2. OSTERHOUT PROPERTIES, LLC, COMMERCIAL REAL ESTATE INVESTMENTS, REPRESENTATIVE FOR FATHER, 2 HRS PER WEEK, $0 COMPENSATION; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE & ANNUITIES, ADDRESS: SAME AS REGISTERED LOCATION; 4. NAME OF OTHER BUSINESS: COUGS FIRST NON-PROFIT CORPORATION INVESTMENT RELATED: NO ADDRESS: 2300 130TH AVE NE. BELLEVUE, WA 98005 NATURE OF BUSINESS: VOLUNTEERING NETWORKING GROUP START DATE: 10/01/2013 POSITION/TITLE/RELATIONSHIP: CHAIRMAN OF ORGANIZATION APX NUMBER OF HOURS PER WEEK: 10 MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: ONE OF FIVE VOLUNTEERS/MEMBERS THAT STARTED AN ALUMNI NETWORKING ORGANIZATION. 5. OFFICE RENTAL - MIKE ROWE, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, RENTAL OF EXTRA OFFICE SPACE, START 12/01/2014, 0HRS/WK (NON-TRADING HOURS), COLLECT RENT & PAY LANDLORD; 6. NAME OF OTHER BUSINESS: CASCADE GUIDED WEALTH LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINACIAL SERVICES; START DATE: 5/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1993About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 1992About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1993About the Series 7 exam

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CRS (Client Relationship Summary)

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

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