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RV

Rosina Velasco

CETERA FINANCIAL SPECIALISTS LLC
Schaumburg, IL 60173
Some features on this profile are disabled
CRD#: 4267927
RV

Professional summary

Rosina Velasco, who also goes by Rosina Brondial Scribner, Rosina Velasco Scribner, Rosina Brondial Velasco, Rosina Velasco, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Schaumburg, Illinois and CETERA INVESTMENT SERVICES LLC located in Schaumburg, Illinois.

Rosina is registered as a RR (Registered Representative) and started their career in finance in 2001. Rosina has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 52, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rosina Brondial Scribner | Rosina Velasco Scribner | Rosina Brondial Velasco | Rosina Velasco

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosina Velasco's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 25, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
BD
CRD#: 10358
Schaumburg, IL
Current

February 12, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
BD
CRD#: 15340
Schaumburg, IL
Current

February 12, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
BD
CRD#: 13572
Schaumburg, IL
Current

February 12, 2026 - Present

CETERA ADVISORS LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
BD
CRD#: 10299
Schaumburg, IL
Past

October 18, 2022 - November 20, 2024

CAUSEWAY SECURITIES LLC

BD
CRD#: 315829
Princeton, NJ
Past

December 15, 2021 - October 7, 2022

HALO SECURITIES, LLC

BD
CRD#: 279029
Chicago, IL
Past

November 12, 2019 - September 22, 2021

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

December 19, 2017 - October 14, 2019

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

October 13, 2014 - December 14, 2017

BROOKLIGHT PLACE SECURITIES, INC.

BD
CRD#: 15764
FOUNTAIN HILLS, AZ
Past

May 17, 2010 - April 21, 2011

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
OSWEGO, IL
Past

November 10, 2005 - May 9, 2008

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
SCHAUMBURG, IL
Past

July 6, 2005 - October 11, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

May 14, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 25, 2002 - May 5, 2003

CHARTER ONE SECURITIES, INC.

BD
CRD#: 13373
CLEVELAND, OH
Past

June 13, 2001 - March 26, 2002

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

January 12, 2001 - April 16, 2001

MPAC CAPITAL PARTNERS, L.P.

BD
CRD#: 39136
SAUSALITO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 10/31/2016
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 4/17/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/19/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event15
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA ADVISORS LLC

CRD#: 10299Schaumburg, IL 60173

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