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CG

Chester D. Goldstone

CETERA WEALTH SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5643410
CG

Professional summary

Chester Donald Goldstone, who also goes by Chester Donald Goldstone, 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.

Chester is registered as a RR (Registered Representative) and started their career in finance in 2009. Chester has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chester Donald Goldstone

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chester Donald Goldstone's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 15, 2018 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 13572
West Des Moines, IA
Current

October 28, 2019 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 10358
West Des Moines, IA
Current

October 28, 2019 - 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 50266
BD
CRD#: 10299
West Des Moines, IA
Current

January 5, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 15340
West Des Moines, IA
Past

October 28, 2019 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
W Des Moines, IA
Past

July 19, 2016 - February 13, 2018

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

April 29, 2016 - July 1, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
BEVERLY HILLS, CA
Past

May 2, 2009 - April 28, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LOS ANGELES, CA
Past

April 17, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
LOS ANGELES, CA

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
Iowa
(12/14/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/29/2016
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND APPENDIX 1 (10/9/2013)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
CASEY, SEAN PATRICKVICE PRESIDENT2156290
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HANAU, JENNIFER LEIGHVICE PRESIDENT2898698
HOLWEGER, KIMBERLEY ANNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELCHIEF COMPLIANCE OFFICER2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT, DIRECTOR OF TRADING1961258
RUMMEL, LEANN RENEEMANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER1965155
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846

Disclosures

Regulatory Event12
Arbitration3

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.

Company Information

CETERA INVESTMENT SERVICES LLC

CRD#: 15340West Des Moines, IA 50266

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