Paul J. Baessler
Professional summary
Paul Jason Baessler, who also goes by Paul Jason Baessler, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota and CETERA WEALTH SERVICES, LLC located in St Cloud, Minnesota.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Jason Baessler's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301August 17, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301August 17, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301August 17, 2023 - Present
CETERA ADVISORS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301April 5, 2021 - July 27, 2023
AXOS CLEARING LLC
October 2, 2012 - August 28, 2020
NATIONAL FINANCIAL SERVICES LLC
October 2, 2012 - August 28, 2020
FIDELITY BROKERAGE SERVICES LLC
February 13, 2012 - July 18, 2012
TD AMERITRADE CLEARING, INC.
November 12, 2010 - February 29, 2012
TD AMERITRADE, INC.
June 16, 1998 - October 26, 2010
CHARLES SCHWAB & CO., 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
(8/17/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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Company Information
CETERA ADVISORS LLC
CRD#: 10299St Cloud, MN 56301TRUST BUT VERIFY
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