EC
Elaine E. Chavez
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CRD#: 5869637
EC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elaine Elizabeth Ann Chavez, who also goes by Elaine Chavez, Elaine Elizabeth Ann Johnson, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 2011. Elaine had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Elaine Chavez | Elaine Elizabeth Ann Johnson
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.
(1) NAME OF OTHER BUSINESS: NEW MEXICO ACTIVITIES ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 6600 PALOMAS AVE NE, ALBUQUERQUE. NM 87109 NATURE OF BUSINESS: HIGH SCHOOL SPORTS OFFICIAL START DATE: 9/1998 POSITION/TITLE/RELATIONSHIP: HIGH SCHOOL OFFICIAL APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OFFICIATE BOTH TRACK AND WRESTLING (2) NAME OF OTHER BUSINESS: NEW MEXICO ATHLETIC COMMISSION INVESTMENT RELATED: NO ADDRESS: N/A NATURE OF BUSINESS: EVENT COORDINATOR FOR MMA, BOXING, AND PROFESSIONAL WRESTLING START DATE: 11/2011 POSITION/TITLE/RELATIONSHIP: EVENT COORDINATOR FOR MMA, BOXING, AND PROFESSIONAL WRESTLING APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: ENSURE EVENTS FOLLOW ALL NM POLICIES, RULES, AND REGULATIONS (3) NAME OF OTHER BUSINESS: ALTUS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (4) NAME OF OTHER BUSINESS: AMY BIEHL HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 123 4TH STREET ALBUQUERQUE NM 87102; NATURE OF BUSINESS: SCHOOL BOARD; START DATE: 2/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETING AND FUNDRAISING; (5) NAME OF OTHER BUSINESS: THE HERB AND GOAT FARM ; INVESTMENT RELATED: NO ; ADDRESS: 21 COUNTY RD 142, MEDANALES, NM 87548 NATURE OF BUSINESS: FARM ; START DATE: 11/2021 POSITION/TITLE/RELATIONSHIP: FARMER / RANCHER / OWNER/ MANAGER ; APX NUMBER OF HOURS PER WEEK: 1-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-10 ; BRIEF DESCRIPTION OF DUTIES: PLANTING AND SELLING OF FARMS PRODUCE ;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 28, 2020 - March 23, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ALBUQUERQUE, NM
Past
October 27, 2020 - March 23, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ALBUQUERQUE, NM
Past
July 13, 2018 - October 6, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
September 23, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ALBUQUERQUE, NM
Past
April 6, 2011 - October 5, 2020
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ALBUQUERQUE, NM
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
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 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| 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 | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
