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FIRM PROFILE
Overview
CETERA FINANCIAL SPECIALISTS LLC is located at 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173 and was first established at Chicago, Delaware in 10/31/2012. After operating for 13 years, CETERA FINANCIAL SPECIALISTS LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CETERA FINANCIAL SPECIALISTS LLC’s clients are individuals and 0% of their clients are high net worth individuals. CETERA FINANCIAL SPECIALISTS LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CETERA FINANCIAL SPECIALISTS LLC are registered to handle securities or provide financial advice. The firm has 14 disclosures, 11 being regulatory events, 0 being client events, and 3 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CETERA FINANCIAL SPECIALISTS LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CETERA FINANCIAL SPECIALISTS LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CETERA FINANCIAL SPECIALISTS LLC Comes From
Understanding the Statistics for CETERA FINANCIAL SPECIALISTS LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Large
(888) 528-2987
Delaware since 10/31/2012
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 | |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 | |
| 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 |
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Advisor's working at CETERA FINANCIAL SPECIALISTS LLC
Gerald Raphael Dufault
David Thomas Renko
Jason Tyler Wilson
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