Michelle M. Stockstrom
Professional summary
Michelle Marie Stockstrom, who also goes by Michelle Marie Jones, Michelle Marie Stockstrom, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in West Des Moines, Iowa.
Michelle is registered as a RR (Registered Representative) and started their career in finance in 2009. Michelle has worked at 9 firms and has passed the Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michelle Marie Stockstrom's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266April 25, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266April 25, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266April 25, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
March 28, 2019 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 28, 2019 - November 4, 2020
FIRST ALLIED SECURITIES, INC.
March 28, 2019 - November 4, 2020
CETERA FINANCIAL SPECIALISTS LLC
March 28, 2019 - November 4, 2020
CETERA ADVISORS LLC
March 28, 2019 - November 4, 2020
CETERA WEALTH SERVICES, LLC
October 10, 2017 - December 27, 2018
SUMMIT BROKERAGE SERVICES, INC.
October 10, 2017 - December 27, 2018
FIRST ALLIED SECURITIES, INC.
October 10, 2017 - December 27, 2018
CETERA FINANCIAL SPECIALISTS LLC
October 10, 2017 - December 27, 2018
CETERA ADVISORS LLC
October 10, 2017 - December 27, 2018
CETERA WEALTH SERVICES, LLC
July 10, 2015 - May 23, 2016
VSR FINANCIAL SERVICES, INC.
July 10, 2015 - May 23, 2016
SUMMIT BROKERAGE SERVICES, INC.
July 10, 2015 - May 23, 2016
INVESTORS CAPITAL CORP.
July 10, 2015 - May 23, 2016
GIRARD SECURITIES, INC.
May 11, 2012 - May 23, 2016
CETERA FINANCIAL SPECIALISTS LLC
March 26, 2009 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
March 26, 2009 - May 23, 2016
CETERA ADVISORS LLC
March 26, 2009 - May 23, 2016
CETERA WEALTH 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
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationSeries 99TO
Date: 3/13/2022
Operations Professional ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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Company Information
CETERA ADVISORS LLC
CRD#: 10299West Des Moines, IA 50266TRUST BUT VERIFY
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