Erin A. Mccloskey
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.
Erin Ann Fleming Mccloskey, CFP®, who also goes by Erin Ann Fleming, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 2016. Erin had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
November 27, 2023 - November 12, 2025
CETERA FINANCIAL SPECIALISTS LLC
November 17, 2023 - November 12, 2025
CETERA INVESTMENT ADVISERS LLC
May 16, 2019 - August 24, 2022
CETERA INVESTMENT ADVISERS LLC
May 16, 2019 - August 24, 2022
CETERA FINANCIAL SPECIALISTS LLC
November 2, 2018 - May 17, 2019
OSAIC WEALTH, INC.
November 2, 2018 - May 17, 2019
OSAIC WEALTH, INC.
May 24, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 24, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
August 3, 2017 - December 19, 2017
SIGNATOR INVESTORS, INC.
July 12, 2017 - December 19, 2017
SIGNATOR INVESTORS, INC.
May 12, 2016 - January 25, 2017
DRAGON FINANCIAL GROUP
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
Series 7TO
Date: 12/4/2023
General Securities Representative ExaminationCurrent Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
