Curtis D. Fessler
Professional summary
Curtis Daniel Fessler, CPWA®, who also goes by Curtis D Fessler, Curtis Fessler, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Honolulu, Hawaii.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 2009. Curtis has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Curtis Daniel Fessler's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 130 Merchant St Cc#888, Honolulu, HI 96813April 24, 2024 - August 11, 2025
BANKOH INVESTMENT SERVICES, INC.
June 29, 2020 - December 6, 2022
CETERA INVESTMENT SERVICES LLC
October 31, 2017 - February 19, 2019
CETERA INVESTMENT SERVICES LLC
May 8, 2014 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
January 3, 2013 - March 31, 2014
PRUCO SECURITIES, LLC.
April 21, 2011 - January 2, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
January 6, 2010 - March 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2010 - March 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2009 - November 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2009 - November 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2009 - June 29, 2009
NORTHWESTERN MUTUAL INVESTMENT 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
(8/7/2025)
(8/7/2025)
(8/7/2025)
(8/7/2025)
(8/7/2025)
(8/7/2025)
Exams
FINRA
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
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