Eugene E. Duhamel
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.
Eugene Elmer Duhamel, who also goes by Gene Duhamel, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1981. Eugene had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22 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
Experience
March 28, 2013 - November 3, 2016
CETERA WEALTH SERVICES, LLC
March 28, 2013 - November 3, 2016
CETERA WEALTH SERVICES, LLC
April 18, 2005 - March 15, 2013
CUSO FINANCIAL SERVICES, L.P.
April 18, 2005 - March 15, 2013
CUSO FINANCIAL SERVICES, L.P.
January 7, 2004 - April 18, 2005
CUNA BROKERAGE SERVICES, INC.
January 7, 2004 - April 18, 2005
CUNA BROKERAGE SERVICES, INC.
February 12, 2003 - December 31, 2003
CAPWEST SECURITIES, INC.
February 12, 2003 - December 31, 2003
CAPWEST SECURITIES, INC.
January 1, 1999 - February 19, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 1, 1997 - February 19, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 1, 1996 - December 3, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 1, 1996 - December 3, 1997
OSAIC FA, INC.
May 19, 1992 - September 24, 1996
SUNAMERICA SECURITIES, INC.
January 11, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 16, 1987 - January 23, 1990
CONSOLIDATED INVESTMENT SERVICES, INC.
November 22, 1985 - December 22, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
June 12, 1985 - November 23, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 16, 1984 - June 7, 1985
ASSOCIATED SECURITIES CORP.
July 4, 1981 - June 26, 1984
WADDELL & REED
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 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.
