Jarrod M. Liebel
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.
Jarrod Michael Liebel, CFP®, ChFC®, CLU®, who also goes by Jarrod M Liebel, was a registered financial professional .
Jarrod is a previously registered financial professional and started their career in finance in 2002. Jarrod had worked at 9 firms and has passed the Series 66, 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
Start date: 2011
Experience
January 27, 2025 - October 16, 2025
CETERA INVESTMENT SERVICES LLC
January 24, 2025 - October 16, 2025
CETERA INVESTMENT ADVISERS LLC
October 2, 2019 - October 9, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 2019 - October 9, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 12, 2016 - October 1, 2019
OSAIC INSTITUTIONS, INC.
January 5, 2016 - October 1, 2019
OSAIC INSTITUTIONS, INC.
December 10, 2014 - December 7, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
November 28, 2014 - December 7, 2015
BBVA SECURITIES INC.
June 1, 2010 - November 20, 2014
LPL FINANCIAL LLC
May 5, 2010 - November 20, 2014
LPL FINANCIAL LLC
January 2, 2009 - January 12, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 16, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 17, 2005 - January 12, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 7, 2002 - December 5, 2003
MML INVESTORS SERVICES, 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
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 |
| 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.
