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CRD 10299
GREENWOOD VILLAGE, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ARETEC GROUP, INC | SHAREHOLDER; 100% OF COMMON STOCK | E | yes | 04/2014 | Jun 10, 2016 | Mar 28, 2024 |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | E | yes | 12/2010 | Mar 27, 2012 | Mar 28, 2024 |
| CETERA FINANCIAL HOLDINGS, INC | SHAREHOLDER, 100% COMMON STOCK | E | yes | 11/2009 | Mar 27, 2012 | Mar 28, 2024 |
| CHAFFIN, GARY LYNN | TAX OFFICER | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER | Na | yes | 03/2023 | Mar 15, 2023 | Mar 28, 2024 |
| GC THREE HOLDINGS, LLC | Owner | E | yes | 10/2023 | Mar 28, 2024 | Mar 28, 2024 |
| GC TWO HOLDINGS, INC. | Owner | F | yes | 10/2018 | Mar 28, 2024 | Mar 28, 2024 |
| GC TWO INTERMEDIATE HOLDINGS, INC. | Owner | F | yes | 10/2018 | Mar 28, 2024 | Mar 28, 2024 |
| GOK, LISA ANNE | Secretary | Na | yes | 05/2021 | May 27, 2021 | Mar 28, 2024 |
| HALEY, KRISTY MARIE | ADVISORY CHIEF COMPLIANCE OFFICER | Na | yes | 11/2015 | Nov 24, 2015 | Mar 28, 2024 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2024 | Jan 5, 2024 | Mar 28, 2024 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | Na | yes | 03/2023 | Mar 15, 2023 | Mar 28, 2024 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | Na | yes | 05/2022 | Jun 3, 2022 | Mar 28, 2024 |
| LISCHIN, MALISSA BLAKE | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | Na | yes | 01/2024 | Mar 28, 2024 | Mar 28, 2024 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| MIZUGUCHI, MAURA RIE | CHIEF ACCOUNTING OFFICER | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | Na | yes | 05/2021 | Aug 27, 2019 | Mar 28, 2024 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | Na | yes | 02/2006 | Mar 27, 2012 | Mar 28, 2024 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| TAYLOR, THOMAS BYRON | Manager | Na | yes | 05/2021 | May 27, 2021 | Mar 28, 2024 |
| UMANSKY, DANIEL ADAM | VICE PRESIDENT | Na | yes | 05/2021 | May 7, 2021 | Mar 28, 2024 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | Na | yes | 05/2021 | May 27, 2021 | Mar 28, 2024 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | Na | no | 02/2013 | Oct 2, 2014 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | n/a | Bd affiliated wealth | $257B | N | yes | n/a |
| CETERA ADVISOR NETWORKS LLC | n/a | Former SEC adviser | $47B | N | yes | n/a |
| AVANTAX ADVISORY SERVICES, INC. | n/a | Former SEC adviser | $46B | N | yes | n/a |
| AVANTAX PLANNING PARTNERS, INC. | n/a | Bd affiliated wealth | $7.6B | N | yes | n/a |
| THE RETIREMENT PLANNING GROUP, LLC | n/a | Independent wealth | $4.2B | N | yes | n/a |
| CETERA INVESTMENT SERVICES LLC | n/a | Former SEC adviser | $1.2B | N | yes | n/a |
| CETERA ADVISORY SERVICES LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| CETERA INVESTMENT MANAGEMENT LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| ASSOCIATES IN EXCELLENCE, INC. | n/a | n/a | n/a | N | yes | n/a |
| AVANTAX INVESTMENT SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA ADVISORS INSURANCE SERVICES LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA FINANCIAL SPECIALISTS LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA INSURANCE AGENCY, LLC | n/a | n/a | n/a | N | yes | n/a |
| CETERA TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| FASI INSURANCE SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| FASI OF TX, INC. | n/a | n/a | n/a | N | yes | n/a |
| FIRST ALLIED RETIREMENT SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NFG BROKERAGE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| OVERLAND PARK | Ks | United States | 225 | yes |
| Scottsdale | Az | United States | 25 | yes |
| ORLAND PARK | IL | United States | 22 | yes |
| Westborough | Ma | United States | 21 | yes |
| Chicago | IL | United States | 15 | yes |
| OAK BROOK | IL | United States | 15 | yes |
| Houston | TX | United States | 13 | yes |
| Tempe | Az | United States | 9 | yes |
| Carmel | In | United States | 9 | yes |
| n/a | n/a | n/a | 9 | yes |
| Waterloo | Ia | United States | 8 | yes |
| BATON ROUGE | La | United States | 8 | yes |
| RED BANK | Nj | United States | 8 | yes |
| Framingham | Ma | United States | 7 | yes |
| Warrensburg | Mo | United States | 7 | yes |
| Cincinnati | Oh | United States | 7 | yes |
| Toledo | Oh | United States | 7 | yes |
| Glendale | Az | United States | 6 | yes |
| Atlanta | Ga | United States | 6 | yes |
| Liberty | Mo | United States | 6 | yes |
| Eatontown | Nj | United States | 6 | yes |
| Parsippany | Nj | United States | 6 | yes |
| Akron | Oh | United States | 6 | yes |
| FAIRVIEW PARK | Oh | United States | 6 | yes |
| Smithville | Oh | United States | 6 | yes |
| MT PLEASANT | Sc | United States | 6 | yes |
| Midlothian | Va | United States | 6 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 28, 2024 | $22B | $19B | 1,138 | 997 | 692 | n/a | n/a |
| 2022 | Mar 29, 2023 | $21B | $18B | 1,047 | 947 | 692 | n/a | n/a |
| 2021 | Mar 29, 2022 | $24B | $20B | 1,199 | 947 | 692 | n/a | n/a |
| 2020 | Mar 26, 2021 | $18B | $15B | 1,178 | 945 | 692 | n/a | n/a |
| 2019 | Mar 17, 2020 | $15B | $12B | 1,164 | 926 | 692 | n/a | n/a |
| 2018 | Mar 14, 2019 | $12B | $9.8B | 1,066 | 957 | 816 | n/a | n/a |
| 2017 | Mar 28, 2018 | $14B | $11B | 1,163 | 1,020 | 816 | n/a | n/a |
| 2016 | Mar 30, 2017 | $11B | $7.3B | 1,194 | 1,057 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $9.4B | $5.5B | 1,022 | 973 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $9.2B | $5.4B | 1,244 | 979 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $7.8B | $4.2B | 1,285 | 925 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $5.9B | $3.0B | 919 | 919 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $3.4B | $1.7B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $22B | $21B | 3.6% | $18B | 6.0% | 1,138 | 1,047 | 692 | 692 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M1 CAPITAL MANAGEMENT LLC | 2 | Mar 21, 2024 | Feb 3, 2022 | MILFORD, MI | Team lift out | Ibd to RIA | 1.3% |
| BRIGHT FUTURES WEALTH MANAGEMENT, LLC | 2 | Mar 21, 2024 | Mar 8, 2022 | WILMETTE, IL | Team lift out | Ibd to RIA | 1.3% |
| BRIGHT FUTURES WEALTH MANAGEMENT, LLC | 2 | Mar 21, 2024 | Feb 14, 2017 | BOYLSTON, MA | Team lift out | Ibd to RIA | 1.3% |
| BRIGHT FUTURES WEALTH MANAGEMENT, LLC | 10 | Mar 21, 2024 | Feb 13, 2024 | PITTSFORD, NY | Team lift out | Ibd to RIA | 6.7% |
| ERGAWEALTH ADVISORS, INC. | 2 | Mar 21, 2024 | May 26, 2022 | OAK BROOK, IL | Team lift out | Ibd to RIA | 1.3% |
| OSAIC WEALTH, INC. | 2 | Mar 7, 2024 | Mar 4, 2024 | OVERLAND PARK, KS | Team lift out | Ibd to ibd | 1.3% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Feb 12, 2024 | Feb 9, 2024 | TARRYTOWN, NY | Team lift out | Ibd to ibd | 1.3% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Feb 5, 2024 | Feb 2, 2024 | CONROE, TX | Team lift out | Ibd to ibd | 1.9% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Jan 18, 2024 | Jan 18, 2024 | MARLTON, NJ | Team lift out | Ibd to ibd | 1.3% |
| LPL FINANCIAL LLC | 2 | Oct 4, 2023 | Oct 4, 2023 | SALEM, OR | Team lift out | Ibd to ibd | 1.2% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Jun 23, 2023 | Jun 21, 2023 | OKLAHOMA CITY, OK | Team lift out | Ibd to ibd | 1.1% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Nov 30, 2022 | Nov 30, 2022 | OVERLAND PARK, KS | Team lift out | Ibd to ibd | 1.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Nov 25, 2022 | Sep 10, 2024 | EDMOND, OK | Team lift out | Ibd to ibd | 1.7% |
| HERITAGE ASSET MANAGEMENT, LLC | 2 | Oct 19, 2022 | Oct 18, 2022 | OVERLAND PARK, KS | Team lift out | Ibd to new firm | 1.1% |
| FIRST ADVISORS NATIONAL, LLC | 2 | Aug 15, 2022 | Aug 16, 2022 | ALLEN PARK, MI | Team lift out | Ibd to RIA | 1.1% |
| Spc | 2 | Jun 17, 2022 | Jun 20, 2022 | ROCKFORD, MI | Team lift out | Ibd to ibd | 1.0% |
| SAGEPOINT FINANCIAL, INC. | 2 | May 2, 2022 | Apr 29, 2022 | CHANHASSEN, MN | Team lift out | Ibd to ibd | 1.0% |
| LPL FINANCIAL LLC | 3 | Oct 5, 2021 | Oct 4, 2021 | MARIETTA, OH | Team lift out | Ibd to ibd | 1.4% |
| STEWARDSHIP FINANCIAL ADVISORS, LLC | 2 | Jul 20, 2021 | Apr 27, 2015 | STOCKBRIDGE, GA | Team lift out | Ibd to RIA | 0.9% |
| LPL FINANCIAL LLC | 2 | Jul 15, 2021 | Aug 14, 2021 | PORTER, IN | Team lift out | Ibd to ibd | 0.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ONEAMERICA SECURITIES, INC. | 3 | Feb 15, 2023 | Jan 30, 2023 | INDIANAPOLIS, IN | Team lift out | Ibd to ibd | 1.1% |
| WADDELL & REED | 2 | Apr 7, 2021 | Jun 7, 2023 | OVERLAND PARK, KS | Team lift out | Ibd to ibd | 0.2% |
| QUESTAR ASSET MANAGEMENT, INC. | 3 | Dec 18, 2018 | Mar 18, 2019 | MINNEAPOLIS, MN | Team lift out | Ibd to ibd | 0.9% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Dec 18, 2018 | Dec 13, 2018 | ARLINGTON, TX | Team lift out | Ibd to ibd | 0.0% |
| ONEAMERICA SECURITIES, INC. | 2 | Jul 12, 2018 | Jul 13, 2018 | BATON ROUGE, LA | Team lift out | Ibd to ibd | 0.9% |
| THE RENAISSANCE GROUP, LLC | 2 | Dec 31, 2017 | May 26, 2015 | VENTURA, CA | Team lift out | Other | 100.0% |
| SECURIAN FINANCIAL SERVICES, INC. | 2 | Nov 16, 2017 | Nov 13, 2017 | CEDAR RAPIDS, IA | Team lift out | Other | 0.2% |
| INVESTORS CAPITAL ADVISORY | 43 | Oct 3, 2016 | Oct 3, 2016 | LYNNFIELD, MA | Channel change | Other | 28.9% |
| FIFTH THIRD SECURITIES, INC. | 2 | Jul 7, 2015 | Jul 13, 2015 | WAUSEON, OH | Team lift out | Other | 0.4% |