GW
Gwendolyn K. Weithaus
CETERA INVESTMENT SERVICES LLC
St Cloud, MN 56301
Some features on this profile are disabled
CRD#: 2445442
GW
Professional summary
Gwendolyn Kay Weithaus, who also goes by Gwen Kay Thames, Gwen Kay Weithaus, Gwendolyn Kay Weithaus Ms., Gwendolyn Kay Weithaus, Gwen Kay Weithaus-thames, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Gwendolyn is registered as a RR (Registered Representative) and started their career in finance in 1994. Gwendolyn has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gwen Kay Thames | Gwen Kay Weithaus | Gwendolyn Kay Weithaus Ms. | Gwendolyn Kay Weithaus | Gwen Kay Weithaus-Thames
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 Gwendolyn Kay Weithaus'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
July 19, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Past
January 26, 2024 - June 3, 2024
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
FORT ATKINSON, WI
Past
May 13, 2004 - May 18, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Milwaukee, WI
Past
April 30, 2004 - December 31, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Milwaukee, WI
Past
October 3, 2001 - January 28, 2004
STRONG CAPITAL MANAGEMENT INC
RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past
January 21, 2000 - January 28, 2004
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
Past
February 22, 1994 - June 12, 1998
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Alabama(7/22/2024)
RR
Alaska(7/22/2024)
RR
Arizona(7/22/2024)
RR
Arkansas(7/22/2024)
RR
California(7/22/2024)
RR
Colorado(7/22/2024)
RR
Connecticut(7/22/2024)
RR
Delaware(7/22/2024)
RR
District of Columbia(7/22/2024)
RR
Florida(7/22/2024)
RR
Georgia(7/22/2024)
RR
Hawaii(7/22/2024)
RR
Idaho(7/22/2024)
RR
Illinois(7/22/2024)
RR
Indiana(7/22/2024)
RR
Iowa(7/22/2024)
RR
Kansas(7/22/2024)
RR
Kentucky(7/22/2024)
RR
Louisiana(7/22/2024)
RR
Maine(7/22/2024)
RR
Maryland(7/22/2024)
RR
Massachusetts(7/22/2024)
RR
Michigan(7/22/2024)
RR
Minnesota(7/22/2024)
RR
Mississippi(7/22/2024)
RR
Missouri(7/22/2024)
RR
Montana(7/22/2024)
RR
Nebraska(7/22/2024)
RR
Nevada(7/22/2024)
RR
New Hampshire(7/22/2024)
RR
New Jersey(7/22/2024)
RR
New Mexico(7/22/2024)
RR
New York(7/22/2024)
RR
North Carolina(7/22/2024)
RR
North Dakota(7/22/2024)
RR
Ohio(7/22/2024)
RR
Oklahoma(7/22/2024)
RR
Oregon(7/22/2024)
RR
Pennsylvania(7/22/2024)
RR
Rhode Island(7/22/2024)
RR
South Carolina(7/22/2024)
RR
South Dakota(7/22/2024)
RR
Tennessee(7/22/2024)
RR
Texas(7/22/2024)
RR
Utah(7/22/2024)
RR
Vermont(7/22/2024)
RR
Virginia(7/22/2024)
RR
Washington(7/22/2024)
RR
West Virginia(7/22/2024)
RR
Wisconsin(7/19/2024)
RR
Wyoming(7/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/26/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340St Cloud, MN 56301TRUST BUT VERIFY
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