JK
Jagchintan S. Kalra
CETERA FINANCIAL SPECIALISTS LLC
Gurugram, 122015
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CRD#: 5640793
JK
Professional summary
Jagchintan Singh Kalra is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC and CETERA WEALTH SERVICES, LLC .
Jagchintan is registered as a RR (Registered Representative) and started their career in finance in 2015. Jagchintan has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Jagchintan Singh Kalra'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
August 17, 2009 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: Plot #22a Udyog Vihar, Gurugram 122015Office #2: Phase 2, Floor Level 1-12, Phoenix Trivium 87&88 Hafeezpet Vlg,seri-lingampally Mandal,rngrddy Dist, Hyderabad, Hafeezpet, 500049BD
CRD#: 10358
Gurugram,
Current
March 3, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: Ph 2,fl 1 - Fl 22,phoenix Trivium,srvy No 87 & 88 Hafeezpet Vlg,seri-lingampally Mandal,rngrddy Dist, Gachibowli, Hydhyderabad, Hafeezpet 500049BD
CRD#: 13572
Gachibowli, Hydhyderabad, Hafeezpet,
Current
March 3, 2014 - Present
CETERA ADVISORS LLC
Office #1: Ph 2,fl 1 - Fl 22,phoenix Trivium,srvy No 87 & 88 Hafeezpet Vlg,seri-lingampally Mandal,rngrddy Dist, Hyderabad, Hafeezpet 500049BD
CRD#: 10299
Hyderabad, Hafeezpet,
Current
April 13, 2016 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: Ph 2,fl 1 - Fl 22,phoenix Trivium,srvy No 87 & 88 Hafeezpet Vlg,seri-lingampally Mandal,rngrddy Dist, Hyderabad, Hafeezpet 500049BD
CRD#: 15340
Hyderabad, Hafeezpet,
Past
October 19, 2020 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
July 20, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
July 20, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
July 20, 2015 - November 2, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
July 20, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
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
California(3/26/2024)
RR
Illinois(3/3/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
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