Natalie J. Wagner
Professional summary
Natalie Jayne Wagner, who also goes by Natalie Jayne Amelse, Natalie Jayne Frank, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Saint Paul, Minnesota and CETERA INVESTMENT SERVICES LLC located in Saint Paul, Minnesota.
Natalie is registered as a RR (Registered Representative) and started their career in finance in 2000. Natalie has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Natalie Jayne Wagner's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101August 14, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101August 14, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101August 14, 2023 - Present
CETERA ADVISORS LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101January 23, 2006 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
October 7, 2004 - July 7, 2005
WORTHMARK FINANCIAL SERVICES, LLC
April 24, 2002 - September 24, 2004
CRI SECURITIES, LLC
January 25, 2000 - February 21, 2000
CRI SECURITIES, LLC
January 25, 2000 - September 24, 2004
SECURIAN 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
(8/10/2023)
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 |
| 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
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Company Information
CETERA ADVISORS LLC
CRD#: 10299Saint Paul, MN 55101TRUST BUT VERIFY
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