Jo A. Shane
Professional summary
Jo Ann Shane, who also goes by Jo Ann Parmer, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Fallbrook, California.
Jo is registered as a RR (Registered Representative) and started their career in finance in 1996. Jo has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jo Ann Shane's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2020 - Present
CETERA FINANCIAL SPECIALISTS LLC
February 25, 2015 - April 20, 2020
PRIMEX
November 19, 2012 - May 5, 2014
KESTRA INVESTMENT SERVICES, LLC
June 29, 2012 - October 9, 2012
PRIMEX
January 29, 2010 - June 25, 2012
NEWPORT COAST SECURITIES, INC.
March 27, 2008 - December 31, 2008
PACIFIC WEST SECURITIES, INC.
July 10, 2006 - December 31, 2007
EMMETT A LARKIN COMPANY, INC.
January 7, 2005 - July 10, 2006
CBIZ FINANCIAL SOLUTIONS, INC.
August 1, 2000 - December 31, 2004
PMG SECURITIES CORPORATION
August 7, 1996 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
May 3, 1996 - July 26, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 3, 1996 - July 26, 1996
OSAIC FA, 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
(6/18/2020)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| 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 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
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.
