Sarah A. Heuertz
Professional summary
Sarah Audrey Heuertz, who also goes by Sarah Greene, Sarah Audrey Heuertz, Sarah Audrey Moritz, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2011. Sarah has worked at 12 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sarah Audrey Heuertz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266July 29, 2025 - Present
CETERA WEALTH SERVICES, 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 50266July 29, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266July 29, 2025 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266July 29, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 1, 2023 - July 15, 2025
AEL FINANCIAL SERVICES, LLC
July 21, 2023 - October 6, 2023
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
September 5, 2017 - July 14, 2021
SAMMONS FINANCIAL NETWORK, LLC
September 26, 2013 - July 16, 2015
MSI FINANCIAL SERVICES, INC.
January 25, 2013 - September 12, 2013
MSI FINANCIAL SERVICES, INC.
October 24, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
July 17, 2012 - August 11, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
February 8, 2011 - May 10, 2012
VOYA FINANCIAL PARTNERS, 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
(7/30/2025)
Exams
Series 6TO
Date: 7/21/2023
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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Company Information
CETERA ADVISORS LLC
CRD#: 10299West Des Moines, IA 50266TRUST BUT VERIFY
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