Candace N. Books
Professional summary
Candace Noel Books is a registered financial professional currently at CETERA ADVISORS LLC located in Greenwood Village, Colorado and CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado.
Candace is registered as a RR (Registered Representative) and started their career in finance in 2013. Candace has worked at 11 firms and has passed the SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Candace Noel Books's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2001 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111February 1, 2013 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111February 1, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111February 9, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111March 24, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
March 24, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
February 9, 2015 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
February 9, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
February 9, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
February 9, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 9, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 1, 2013 - February 2, 2015
CETERA FINANCIAL SPECIALISTS 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
(10/30/2001)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
