AW
Allen E. Wainer
CETERA INVESTMENT SERVICES LLC
El Segundo, CA 90245
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CRD#: 2837871
AW
Professional summary
Allen Eric Wainer, who also goes by Allen Eric Wainer, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Allen is registered as a RR (Registered Representative) and started their career in finance in 1997. Allen has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 3, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Allen Eric Wainer
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.
CRS (Client Relationship Summary) - BD
Click below to view Allen Eric Wainer's 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®
NoneExperience
Current
March 14, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
March 14, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
March 14, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Current
March 14, 2023 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
December 11, 2018 - February 21, 2023
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
Past
March 9, 2010 - November 16, 2018
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
June 23, 2006 - February 3, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MIAMI, FL
Past
June 5, 2006 - June 12, 2006
LEEB BROKERAGE SERVICES, INC.
BD
CRD#: 46195
NEW YORK, NY
Past
October 2, 2000 - April 7, 2005
ADIRONDACK ELECTRONIC MARKETS LLC
BD
CRD#: 104041
NEW YORK, NY
Past
July 28, 2000 - October 2, 2000
KBC SECURITIES USA LLC
BD
CRD#: 46709
NEW YORK, NY
Past
July 8, 1997 - December 4, 1997
PUNK, ZIEGEL & COMPANY, L.P.
BD
CRD#: 26174
NEW YORK, NY
Past
February 11, 1997 - June 6, 1997
BREAN MURRAY & CO., INC.
BD
CRD#: 7541
NEW YORK, NY
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
Alabama(3/14/2023)
RR
Alaska(3/14/2023)
RR
Arizona(3/14/2023)
RR
Arkansas(3/14/2023)
RR
California(3/14/2023)
RR
Colorado(3/14/2023)
RR
Connecticut(3/14/2023)
RR
Delaware(3/14/2023)
RR
District of Columbia(3/14/2023)
RR
Florida(3/14/2023)
RR
Georgia(3/14/2023)
RR
Hawaii(3/14/2023)
RR
Idaho(3/14/2023)
RR
Illinois(3/14/2023)
RR
Indiana(3/14/2023)
RR
Iowa(3/14/2023)
RR
Kansas(3/14/2023)
RR
Kentucky(3/14/2023)
RR
Louisiana(3/14/2023)
RR
Maine(3/14/2023)
RR
Maryland(3/14/2023)
RR
Massachusetts(3/14/2023)
RR
Michigan(3/14/2023)
RR
Minnesota(3/14/2023)
RR
Mississippi(3/14/2023)
RR
Missouri(3/14/2023)
RR
Montana(3/14/2023)
RR
Nebraska(3/14/2023)
RR
Nevada(3/14/2023)
RR
New Hampshire(3/14/2023)
RR
New Jersey(3/14/2023)
RR
New Mexico(3/14/2023)
RR
New York(3/14/2023)
RR
North Carolina(3/14/2023)
RR
North Dakota(3/14/2023)
RR
Ohio(3/14/2023)
RR
Oklahoma(3/14/2023)
RR
Oregon(3/14/2023)
RR
Pennsylvania(3/14/2023)
RR
Puerto Rico(3/14/2023)
RR
Rhode Island(3/14/2023)
RR
South Carolina(3/14/2023)
RR
South Dakota(3/14/2023)
RR
Tennessee(3/14/2023)
RR
Texas(3/14/2023)
RR
Utah(3/14/2023)
RR
Vermont(3/14/2023)
RR
Virgin Islands(3/14/2023)
RR
Virginia(3/14/2023)
RR
Washington(3/14/2023)
RR
West Virginia(3/14/2023)
RR
Wisconsin(3/14/2023)
RR
Wyoming(3/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/9/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
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
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.
