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FIRM PROFILE
Overview
CETERA INVESTMENT SERVICES LLC is located at 400 First St. S. Suite 300, St. Cloud, MN 56301 and was first established at Kansas City, Delaware in 11/30/2012. After operating for 13 years, CETERA INVESTMENT SERVICES 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 INVESTMENT SERVICES LLC’s clients are individuals and 0% of their clients are high net worth individuals. CETERA INVESTMENT SERVICES 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 INVESTMENT SERVICES 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 INVESTMENT SERVICES 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 INVESTMENT SERVICES 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 INVESTMENT SERVICES LLC Comes From
Understanding the Statistics for CETERA INVESTMENT SERVICES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
400 First St. S. Suite 300, St. Cloud, MN 56301
P.o. Box 283, St. Cloud, MN 56302-0283
Large
(320) 656-4300
Delaware since 11/30/2012
Limited Liability Company
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | ||
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 | |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 | |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 | |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 | |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 | |
| GOK, LISA ANNE | SECRETARY | 5059738 | |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 | |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 | |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 | |
| 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 | |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 | |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 | |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 | |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 | |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 | |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
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Advisor's working at CETERA INVESTMENT SERVICES LLC
Andrew Tsiolas
Charlene Farmer Reyes
Elan Danon
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