AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

Jo A. Shane

CETERA FINANCIAL SPECIALISTS LLC
FALLBROOK, CA
Some features on this profile are disabled
CRD#: 2737196
JS

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

Are you a "fiduciary"?
No

Aliases

Jo Ann Parmer

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jo Ann Shane's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 18, 2020 - Present

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
FALLBROOK, CA
Past

February 25, 2015 - April 20, 2020

PRIMEX

BD
CRD#: 29394
CARSON CITY, NV
Past

November 19, 2012 - May 5, 2014

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PLEASANTON, CA
Past

June 29, 2012 - October 9, 2012

PRIMEX

BD
CRD#: 29394
NEW YORK, NY
Past

January 29, 2010 - June 25, 2012

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
CARSON CITY, NV
Past

March 27, 2008 - December 31, 2008

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
INCLINE VILLAGE, NV
Past

July 10, 2006 - December 31, 2007

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
LIVERMORE, CA
Past

January 7, 2005 - July 10, 2006

CBIZ FINANCIAL SOLUTIONS, INC.

BD
CRD#: 16678
SAN JOSE, CA
Past

August 1, 2000 - December 31, 2004

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

August 7, 1996 - August 1, 2000

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

May 3, 1996 - July 26, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

May 3, 1996 - July 26, 1996

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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
California
(6/18/2020)
RR
Colorado
(1/3/2022)
RR
Kentucky
(1/3/2022)
RR
Nevada
(1/3/2022)
RR
Oregon
(1/3/2022)
RR
Utah
(1/3/2022)
RR
Washington
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/2/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358 / SEC#: , 8-27082

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BANKS, ELAYNE CAMILLEVICE PRESIDENT3070202
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULCHIEF COMPLIANCE OFFICER4710068
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
KRUEGER, RONALD GEORGEMANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT2651416
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
ROTHENBERG, JON HOWARDVICE PRESIDENT2737327
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846

Disclosures

Regulatory Event11
Arbitration3

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.

Company Information

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358Fallbrook, CA

TRUST BUT VERIFY

Monitor Jo Shane

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.