Tanya J. Albrecht
Professional summary
Tanya Jean Albrecht, who also goes by Tanya Albrecht, Tanya Jean Gamblin, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Tanya is registered as a RR (Registered Representative) and started their career in finance in 1996. Tanya has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tanya Jean Albrecht's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 19, 2024 - January 31, 2025
CETERA INVESTMENT SERVICES LLC
December 19, 2024 - January 31, 2025
CETERA FINANCIAL SPECIALISTS LLC
December 19, 2024 - January 31, 2025
CETERA ADVISORS LLC
September 9, 2021 - October 19, 2022
P.J. ROBB VARIABLE, LLC
February 9, 2021 - September 8, 2021
TLG ADVISORS, INC.
February 6, 2021 - September 8, 2021
THE LEADERS GROUP, INC.
November 6, 2018 - March 4, 2019
TRUIST ADVISORY SERVICES, INC.
June 14, 2018 - March 4, 2019
TRUIST INVESTMENT SERVICES, INC.
June 6, 2017 - May 25, 2018
CETERA INVESTMENT SERVICES LLC
April 20, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
January 20, 2010 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
October 24, 2007 - March 3, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 25, 2003 - October 16, 2007
LIBERTY LIFE DISTRIBUTORS LLC
July 6, 2001 - December 6, 2001
DIRECTED SERVICES LLC
January 14, 2000 - March 13, 2001
AUGUSTAR DISTRIBUTORS, INC.
October 18, 1999 - December 20, 1999
THE LEADERS GROUP, INC.
September 5, 1996 - November 19, 1997
METROPOLITAN LIFE INSURANCE COMPANY
September 5, 1996 - November 19, 1997
MSI FINANCIAL SERVICES, 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
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
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 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| 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 | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
