Samantha L. Dunn
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.
Samantha Lynn Dunn, who also goes by Samantha Lynn Dunn, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 2017. Samantha had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2025 - December 3, 2025
CETERA FINANCIAL SPECIALISTS LLC
September 5, 2025 - December 3, 2025
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - December 3, 2025
CETERA WEALTH SERVICES, LLC
January 17, 2018 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 2, 2017 - September 5, 2025
AVANTAX ADVISORY SERVICES
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
Current 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
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.
Company Information
CETERA FINANCIAL SPECIALISTS LLC
Regional Director, Business DevelopmentCRD#: 10358TRUST BUT VERIFY
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