Edward G. Cruz
Professional summary
Edward Gabriel Cruz SR, who also goes by Ed G Cruz Sr, Eddie G Cruz Sr, Edward G. Cruz Sr., Edward Gabriel Cruz Sr., Edward Gabriel Cruz Sr, Edward Gabriel Cruz, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Houston, Texas.
Edward is registered as a RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 14 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Edward Gabriel Cruz SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Kirby Drive Suite 1100, Houston, TX 77098January 15, 2026 - April 2, 2026
ORION PORTFOLIO SOLUTIONS, LLC
November 13, 2025 - April 2, 2026
BRINKER CAPITAL SECURITIES, LLC
September 21, 2022 - May 2, 2023
LPL FINANCIAL LLC
September 21, 2022 - May 2, 2023
LPL FINANCIAL LLC
January 26, 2022 - September 13, 2022
FROST INVESTMENT SERVICES
May 11, 2020 - December 31, 2021
FROST INVESTMENT SERVICES
May 11, 2020 - September 13, 2022
FROST BROKERAGE SERVICES, INC.
August 28, 2019 - August 29, 2019
SORRENTO PACIFIC FINANCIAL, LLC
August 28, 2019 - August 29, 2019
CUSO FINANCIAL SERVICES, L.P.
August 28, 2019 - August 29, 2019
CADARET, GRANT & CO., INC.
August 28, 2019 - May 1, 2020
SORRENTO PACIFIC FINANCIAL, LLC
August 28, 2019 - May 1, 2020
CUSO FINANCIAL SERVICES, L.P.
August 28, 2019 - May 1, 2020
CADARET, GRANT & CO., INC.
May 6, 2016 - May 1, 2020
NEXT FINANCIAL GROUP, INC.
May 4, 2016 - May 1, 2020
NEXT FINANCIAL GROUP, INC.
October 1, 2012 - May 13, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 13, 2013
J.P. MORGAN SECURITIES LLC
January 16, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 16, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 7, 2006 - March 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 2006 - March 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2000 - October 14, 2005
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
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 |
| 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 | CHIEF COMPLIANCE OFFICER | 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 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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