Francis J. Wildemann
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.
Francis Joseph Wildemann IV was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1977. Francis had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2013 - November 27, 2013
CETERA WEALTH SERVICES, LLC
September 3, 2013 - December 26, 2018
CETERA WEALTH SERVICES, LLC
September 16, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
September 16, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
April 11, 2006 - September 16, 2008
OSAIC FA, INC.
March 20, 2006 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 20, 2006 - September 16, 2008
OSAIC FA, INC.
June 8, 2000 - January 20, 2005
OSAIC FA, INC.
May 21, 1996 - December 31, 1999
NATHAN & LEWIS SECURITIES, INC.
October 12, 1990 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
November 10, 1988 - July 3, 1990
LCP CAPITAL CORP.
December 2, 1987 - October 4, 1988
MARQUETTE FINANCIAL GROUP, INC.
January 15, 1987 - December 2, 1987
LINSCO FINANCIAL GROUP, INC.
August 6, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
December 3, 1981 - June 11, 1986
CARDELL & ASSOCIATES, INCORPORATED
August 14, 1980 - November 15, 1981
CITIGROUP GLOBAL MARKETS INC.
May 1, 1979 - September 1, 1980
JANNEY MONTGOMERY SCOTT LLC
January 18, 1978 - June 26, 1978
LOEB PARTNERS
October 26, 1977 - January 18, 1978
LOEB RHOADES & CO. 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
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.
