James G. Friemann
Professional summary
James Glenn Friemann 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.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Glenn Friemann's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2004 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 7, 2004 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 7, 2004 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245February 19, 2016 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
February 19, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
February 19, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
February 19, 2016 - December 14, 2016
LEGEND EQUITIES CORPORATION
February 19, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
February 19, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 19, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 1, 2004 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
October 25, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 11, 1999 - December 7, 2000
TRANSAMERICA FINANCIAL ADVISORS, 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 FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| 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 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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