Aimee L. Anzai
Professional summary
Aimee L Anzai, who also goes by Aimee Leann Anzai, Aimee Leann Barserian, is a registered financial professional currently at CETERA ADVISORS LLC located in Greenwood Village, Colorado.
Aimee is registered as a RR (Registered Representative) and started their career in finance in 2012. Aimee has worked at 12 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Aimee L Anzai's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2021 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111July 8, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 8, 2021 - August 18, 2025
CETERA WEALTH SERVICES, LLC
July 8, 2021 - August 18, 2025
CETERA INVESTMENT SERVICES LLC
July 8, 2021 - August 18, 2025
CETERA FINANCIAL SPECIALISTS LLC
November 20, 2017 - June 14, 2021
PERSHING ADVISOR SOLUTIONS LLC
January 10, 2017 - August 16, 2017
QUESTAR ASSET MANAGEMENT, INC.
January 10, 2017 - August 16, 2017
QUESTAR CAPITAL CORPORATION
April 8, 2015 - November 25, 2016
EMPOWER FINANCIAL SERVICES, INC.
March 26, 2013 - November 15, 2013
CURIAN CAPITAL, LLC
January 9, 2013 - March 13, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 5, 2012 - January 2, 2013
U.S. BANCORP ADVISORS, 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
(8/14/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative 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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