CH
Casey K. Hencz
CETERA INVESTMENT SERVICES LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 4535401
CH
Professional summary
Casey Komenich Hencz, who also goes by Casey Komenich Hencz, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado.
Casey is registered as a RR (Registered Representative) and started their career in finance in 2002. Casey has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Casey Komenich Hencz
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.
CRS (Client Relationship Summary) - BD
Click below to view Casey Komenich Hencz's 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®
NoneExperience
Current
February 9, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111BD
CRD#: 15340
Greenwood Village, CO
Past
September 17, 2013 - February 5, 2024
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
July 20, 2011 - August 23, 2013
EVERLAKE DISTRIBUTORS, LLC
BD
CRD#: 100460
NORTHBROOK, IL
Past
August 23, 2007 - March 25, 2009
EVERLAKE DISTRIBUTORS, LLC
BD
CRD#: 100460
NORTHBROOK, IL
Past
May 8, 2007 - August 9, 2007
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
RIA
CRD#: 30721
CHICAGO, IL
Past
March 20, 2007 - August 9, 2007
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
BD
CRD#: 30721
CHICAGO, IL
Past
October 4, 2006 - March 27, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
SLEEPY HOLLOW, IL
Past
October 4, 2006 - March 27, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
SLEEPY HOLLOW, IL
Past
September 15, 2006 - September 19, 2006
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MEQUON, WI
Past
September 15, 2006 - September 19, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MEQUON, WI
Past
July 25, 2002 - August 17, 2006
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BROOKFIELD, WI
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
Alabama(2/9/2024)
RR
Alaska(2/9/2024)
RR
Arizona(2/9/2024)
RR
Arkansas(2/9/2024)
RR
California(2/9/2024)
RR
Colorado(2/9/2024)
RR
Connecticut(2/9/2024)
RR
Delaware(2/9/2024)
RR
District of Columbia(2/9/2024)
RR
Florida(2/9/2024)
RR
Georgia(2/9/2024)
RR
Hawaii(2/9/2024)
RR
Idaho(2/9/2024)
RR
Illinois(2/9/2024)
RR
Indiana(2/9/2024)
RR
Iowa(2/9/2024)
RR
Kansas(2/9/2024)
RR
Kentucky(2/9/2024)
RR
Louisiana(2/9/2024)
RR
Maine(2/9/2024)
RR
Maryland(2/9/2024)
RR
Massachusetts(2/9/2024)
RR
Michigan(2/9/2024)
RR
Minnesota(2/9/2024)
RR
Mississippi(2/9/2024)
RR
Missouri(2/9/2024)
RR
Montana(2/9/2024)
RR
Nebraska(2/9/2024)
RR
Nevada(2/9/2024)
RR
New Hampshire(2/9/2024)
RR
New Jersey(2/9/2024)
RR
New Mexico(2/9/2024)
RR
New York(2/9/2024)
RR
North Carolina(2/9/2024)
RR
North Dakota(2/9/2024)
RR
Ohio(2/12/2024)
RR
Oklahoma(2/9/2024)
RR
Oregon(2/9/2024)
RR
Pennsylvania(2/9/2024)
RR
Rhode Island(2/9/2024)
RR
South Carolina(2/9/2024)
RR
South Dakota(2/9/2024)
RR
Tennessee(2/9/2024)
RR
Texas(2/9/2024)
RR
Utah(2/9/2024)
RR
Vermont(2/9/2024)
RR
Virginia(2/9/2024)
RR
Washington(2/9/2024)
RR
West Virginia(2/9/2024)
RR
Wisconsin(2/9/2024)
RR
Wyoming(2/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| 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 | MANAGER AND VICE PRESIDENT | 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 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
