Michael F. Aleman
Professional summary
Michael Frank Aleman is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Miami, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Frank Aleman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2800 Ponce De Leon Blvd, Miami, FL 33134February 17, 2021 - August 11, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - August 11, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
November 7, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
September 25, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 13, 2008 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
May 5, 2008 - April 9, 2015
NORTHERN TRUST SECURITIES, INC.
March 4, 2008 - April 23, 2008
LPL FINANCIAL LLC
May 1, 2006 - March 4, 2008
IFMG SECURITIES, INC.
January 23, 2002 - April 28, 2006
COLONIAL BROKERAGE, INC.
April 13, 2000 - January 22, 2002
FISERV INVESTOR SERVICES, INC.
February 16, 1999 - April 12, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 3, 1996 - April 1, 1998
BARNETT INVESTMENTS, 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
(11/9/2021)
(11/3/2021)
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 |
| 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
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Miami, FL 33134TRUST BUT VERIFY
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