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Cetera Financial Specialists Llc Crd# 10358

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Cetera Financial Specialists Llc Crd# 10358 BrokerCheck Report CETERA FINANCIAL SPECIALISTS LLC CRD# 10358 Section Title Page(s) Report Summary 1 Firm Profile 2 - 15 Firm History 16 Firm Operations 17 - 28 Disclosure Events 29 i Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. About BrokerCheck® BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and former registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them. · What is included in a BrokerCheck report? · BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheck reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the Using this site/information means same disclosure events mentioned above. that you accept the FINRA · Please note that the information contained in a BrokerCheck report may include pending actions or BrokerCheck Terms and allegations that may be contested, unresolved or unproven. In the end, these actions or allegations may be Conditions. A complete list of resolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no Terms and Conditions can be admission or finding of wrongdoing. found at · Where did this information come from? brokercheck.finra.org · The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and brokerage firms to submit as part of the registration and licensing process, and For additional information about o information that regulators report regarding disciplinary actions or allegations against firms or brokers. the contents of this report, please · How current is this information? refer to the User Guidance or · Generally, active brokerage firms and brokers are required to update their professional and disciplinary www.finra.org/brokercheck. It information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokers provides a glossary of terms and a and regulators is available in BrokerCheck the next business day. list of frequently asked questions, · What if I want to check the background of an investment adviser firm or investment adviser as well as additional resources. representative? For more information about · To check the background of an investment adviser firm or representative, you can search for the firm or FINRA, visit www.finra.org. individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing and registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website at https://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your state securities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414. · Are there other resources I can use to check the background of investment professionals? · FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state. · Thank you for using FINRA BrokerCheck. www.finra.org/brokercheck User Guidance CETERA FINANCIAL SPECIALISTS Report Summary for this Firm LLC CRD# 10358 This report summary provides an overview of the brokerage firm. Additional information for this firm can be found in the detailed report. SEC# 8-27082 Firm Profile Disclosure Events Main Office Location This firm is classified as a limited liability company. 1450 AMERICAN LANE This firm was formed in Delaware on 10/31/2012. Brokerage firms are required to disclose certain 6TH FLOOR, SUITE #650 Its fiscal year ends in December. criminal matters, regulatory actions, civil judicial SCHAUMBURG, IL 60173 proceedings and financial matters in which the firm or Regulated by FINRA Chicago Office Firm History one of its control affiliates has been involved. Mailing Address Information relating to the brokerage firm's history Are there events disclosed about this firm? Yes 1450 AMERICAN LANE such as other business names and successions 6TH FLOOR, SUITE #650 (e.g., mergers, acquisitions) can be found in the SCHAUMBURG, IL 60173 detailed report. The following types of disclosures have been reported: Business Telephone Number Firm Operations Type Count 888-528-2987 This firm is registered with: Regulatory Event 11 • the SEC Arbitration 3 • 1 Self-Regulatory Organization • 53 U.S. states and territories Is this brokerage firm currently suspended with any regulator? No This firm conducts 13 types of businesses. This firm is affiliated with financial or investment institutions. This firm has referral or financial arrangements with other brokers or dealers. ©2021 FINRA. All rights reserved. Report about CETERA FINANCIAL SPECIALISTS LLC 1 www.finra.org/brokercheck User Guidance Firm Profile This firm is classified as a limited liability company. This firm was formed in Delaware on 10/31/2012. Its fiscal year ends in December. Firm Names and Locations This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailing addresses, telephone number, and any alternate name by which the firm conducts business and where such name is used. CETERA FINANCIAL SPECIALISTS LLC Doing business as CETERA FINANCIAL SPECIALISTS LLC CRD# 10358 SEC# 8-27082 Main Office Location 1450 AMERICAN LANE 6TH FLOOR, SUITE #650 SCHAUMBURG, IL 60173 Regulated by FINRA Chicago Office Mailing Address 1450 AMERICAN LANE 6TH FLOOR, SUITE #650 SCHAUMBURG, IL 60173 Business Telephone Number 888-528-2987 Other Names of this Firm Name Where is it used CETERA FINANCIAL BROKERAGE SERVICES AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, ©2021 FINRA. All rights reserved. Report about CETERA FINANCIAL SPECIALISTS LLC WV, WY 2 AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, www.finra.org/brokercheck RI, SC, SD, TN, TX, User Guidance UT, VA, VT, WA, WI, WV, WY ©2021 FINRA. All rights reserved. Report about CETERA FINANCIAL SPECIALISTS LLC 3 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to all direct owners and executive officers of the brokerage firm. Direct Owners and Executive Officers Legal Name & CRD# (if any): CETERA FINANCIAL SPECIALISTS SERVICES LLC Is this a domestic or foreign Domestic Entity entity or an individual? Position SOLE MEMBER Position Start Date 02/1984 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): BANKS, ELAYNE CAMILLE 3070202 Is this a domestic or foreign Individual entity or an individual? Position VICE PRESIDENT Position Start Date 05/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): BOWMAN, TIMOTHY JOSEPH 2247374 Is this a domestic or foreign Individual entity or an individual? Position PRINCIPAL FINANCIAL OFFICER Position Start Date 06/2021 Percentage of Ownership Less than 5% ©2021 FINRA. All rights reserved. Report about CETERA FINANCIAL SPECIALISTS LLC 4 www.finra.org/brokercheck User Guidance Firm Profile Direct Owners and Executive Officers (continued) Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): BUCHHEISTER, JEFFREY ROBERT 4709900 Is this a domestic or foreign Individual entity or an individual? Position CHIEF FINANCIAL OFFICER Position Start Date 05/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): CHAFFIN, GARY LYNN 6819431 Is this a domestic or foreign Individual entity or an individual? Position TAX OFFICER Position Start Date 05/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): GILL, GEORGE ANDREW ©2021 FINRA. All rights reserved. Report about4498537 CETERA FINANCIAL SPECIALISTS LLC 5 www.finra.org/brokercheck User Guidance Firm Profile Direct Owners and Executive Officers (continued) 4498537 Is this a domestic or foreign Individual entity or an individual? Position VICE PRESIDENT Position Start Date 05/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): GOK, LISA ANNE 5059738 Is this a domestic or foreign Individual entity or an individual? Position SECRETARY Position Start Date 05/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): HALEY, BRIAN JOSEPH 4361815 Is this a domestic or foreign Individual entity or an individual? Position CHIEF COMPLIANCE OFFICER AND SECRETARY Position Start Date 07/2016 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the©2021 firm? FINRA.
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