Larry D. Ellison
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Donald Ellison JR, who also goes by Larry Donald Ellison, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1999. Larry had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - March 30, 2015
CETERA INVESTMENT SERVICES LLC
August 26, 2013 - March 30, 2015
CETERA WEALTH SERVICES, LLC
August 26, 2013 - March 30, 2015
CETERA ADVISORS LLC
August 26, 2013 - March 30, 2015
CETERA WEALTH SERVICES, LLC
June 16, 2010 - August 10, 2011
DIRECTED SERVICES LLC
June 16, 2010 - August 15, 2011
VOYA RETIREMENT ADVISORS, LLC
June 16, 2010 - August 15, 2011
SLD AMERICA EQUITIES, INC.
March 30, 2010 - August 15, 2011
VOYA FINANCIAL PARTNERS, LLC
January 7, 2005 - August 12, 2013
VOYA FINANCIAL ADVISORS, INC.
December 7, 2004 - December 31, 2009
CETERA INVESTMENT SERVICES LLC
December 7, 2004 - December 31, 2009
CETERA ADVISORS LLC
December 7, 2004 - December 31, 2009
CETERA WEALTH SERVICES, LLC
January 1, 2004 - August 12, 2013
VOYA FINANCIAL ADVISORS, INC.
July 14, 1999 - January 1, 2004
LOCUST STREET SECURITIES, 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
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
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 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
