Carly A. Jeffrey
Professional summary
Carly Ann Jeffrey, who also goes by Carly Ann Jeffrey, Carly Jeffrey, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Carly is registered as a RR (Registered Representative) and started their career in finance in 2015. Carly has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carly Ann Jeffrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 16220 N. Scottsdale Rd Ste 300, Scottsdale, AZ 85254November 16, 2022 - November 30, 2023
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 3, 2022 - November 17, 2022
CETERA WEALTH SERVICES, LLC
January 22, 2020 - June 30, 2022
FFEC WEALTH PARTNERS LLC
May 11, 2018 - January 13, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 10, 2018 - January 13, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 27, 2018 - May 9, 2018
FFEC WEALTH PARTNERS LLC
April 25, 2016 - June 29, 2016
FFEC WEALTH PARTNERS LLC
April 25, 2016 - June 29, 2016
FFEC WEALTH PARTNERS LLC
April 8, 2016 - May 10, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 5, 2015 - May 10, 2016
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
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.
