Craig R. Dindinger
Professional summary
Being a previously registered professional could mean that this person 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.
Craig Robert Dindinger was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1997. Craig had worked at 13 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2022 - April 29, 2025
CETERA INVESTMENT SERVICES LLC
August 25, 2022 - April 29, 2025
CETERA FINANCIAL SPECIALISTS LLC
November 12, 2020 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
April 20, 2020 - April 29, 2025
CETERA ADVISORS LLC
May 20, 2016 - April 29, 2025
CETERA WEALTH SERVICES, LLC
August 19, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 26, 2007 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
May 5, 2005 - June 13, 2005
ROUND HILL SECURITIES, INC.
November 5, 2001 - January 12, 2005
WESTERN SECURITIES CLEARING CORP.
October 29, 2001 - November 20, 2001
TRADE-WELL DISCOUNT INVESTING, LLC.
May 2, 2000 - September 9, 2022
FIRST ALLIED SECURITIES, INC.
June 1, 1998 - March 27, 2000
TD AMERITRADE, INC.
May 19, 1997 - June 1, 1998
JACK WHITE & COMPANY, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/17/2000
Limited Representative-Equity Trader ExamCurrent 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 |
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
