DE
Deena J. Espinosa
CETERA INVESTMENT SERVICES LLC
Panama City, FL 32405
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CRD#: 2418601
DE
Professional summary
Deena J Espinosa, who also goes by Deena Jean Espinosa, Deena J Mendoza, Deena J Papadimitriou, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Panama City, Florida.
Deena is registered as a RR (Registered Representative) and started their career in finance in 1993. Deena has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Deena Jean Espinosa | Deena J Mendoza | Deena J Papadimitriou
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.
CRS (Client Relationship Summary) - BD
Click below to view Deena J Espinosa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 10, 2014 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 469 W 23rd St, Panama City, FL 32405Office #2: 3232 Sw College Rd, Ocala, FL 34474Office #3: 2630 East Highway 50, Clermont, FL 34711Office #4: 17465 Spring Cypress Road, Cypress, TX 77429Office #5: 3146 S Orange Ave, Orlando, FL 32806Office #6: 1700 Sw 17th St, Ocala, FL 34471Office #7: 1500 Pinehurst Dr, Spring Hill, FL 34606Office #8: 2889 Green Street, Marianna, FL 32446Office #9: 11540 Panama City Beach Pkwy, Panama City Beach, FL 32407Office #10: 1051 W New Haven Ave, Melbourne, FL 32904Office #11: 4094 W Lake Mary Blvd, Lake Mary, FL 32746Office #12: 607 Dunlawton Ave, Port Orange, FL 32127Office #13: 3836 Murrell Rd, Rockledge, FL 32955Office #14: 10250 Sw 86th Circle, Ocala, FL 34481Office #15: 5084 Dr Phillips Blvd, Orlando, FL 32819Office #16: 111 N Orange St, Orlando, FL 32801Office #17: 9768 Lantern St, Jacksonville, FL 32225Office #18: 50 Blake Blvd Building D, Celebration, FL 34747Office #19: 8061 Via Dellagio Way, Orlando, FL 32819BD
CRD#: 15340
Panama City, FL
Past
October 19, 2000 - April 17, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ORLANDO, FL
Past
October 16, 2000 - April 17, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ORLANDO, FL
Past
December 6, 1993 - December 6, 1998
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/16/2014)
RR
Georgia(5/16/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
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 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Panama City, FL 32405TRUST BUT VERIFY
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