Amanda Jarvis
Professional summary
Amanda Jarvis, who also goes by Amanda Jean Jarvis, Amanda Jarvis, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.
Amanda is registered as a RR (Registered Representative) and started their career in finance in 1998. Amanda has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amanda Jarvis's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 16, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101November 16, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101January 12, 2017 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101June 30, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 19, 2014 - November 14, 2016
MERITAGE FINANCIAL SOLUTIONS
July 30, 2010 - June 21, 2012
DUNHAM
July 23, 2010 - June 21, 2012
DUNHAM
March 26, 2004 - March 26, 2009
LPL FINANCIAL LLC
March 26, 2004 - March 26, 2009
LPL FINANCIAL LLC
February 19, 2002 - October 29, 2003
CHARLES SCHWAB & CO., INC.
December 5, 2000 - October 29, 2003
CHARLES SCHWAB & CO., INC.
March 24, 1999 - November 9, 2000
MORGAN STANLEY DW INC.
April 16, 1998 - March 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
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 ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
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 |
| 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 | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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