Cetera Advisors is an investment advisor in Greenwood Village with $21.23 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Former names
MULTI FINANCIAL SECURITIES CORP/CO
SEC CIK
SEC advisor number
801-33020
FINRA CRD number
10299
AUM ?
$21.23 bn
(as of 17 Apr 23)
Accounts
90,646
(as of 17 Apr 23)
Employees
1,047
(947 investment advisory or research)
Address
Cetera Advisors
1290 BROADWAY
DENVER
CO 80203
1290 BROADWAY
DENVER
CO 80203
Office hours
Monday - Friday, 8:00 AM TO 5:00 PM
Phone
800-666-1477
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Aretec Group, Inc | Sole Member | 04/2014 | > 75% |
Harrison, Brett Lamar | Manager, Chief Executive Officer and President | 05/2021 | < 5% |
Smiley, Stanley Robert | Vice President | 02/2006 | < 5% |
Cetera Financial Holdings, Inc | Sole Member | 11/2009 | > 75% |
Cetera Financial Group, Inc. | Sole Member | 12/2010 | > 75% |
Ramos, Ramon | Money Laundering Reporting Officer | 02/2013 | < 5% |
Haley, Kristy Marie | Advisory Chief Compliance Officer | 11/2015 | < 5% |
Vannoy-pineda, Kathleen Denise | Broker Dealer Chief Compliance Officer | 05/2021 | < 5% |
Neary, Joseph Daniel | Manager and Vice President | 05/2021 | < 5% |
Buchheister, Jeffrey Robert | Chief Financial Officer | 05/2021 | < 5% |
Mizuguchi, Maura Rie | Chief Accounting Officer | 05/2021 | < 5% |
Chaffin, Gary Lynn | Tax Officer | 05/2021 | < 5% |
Stinson, Timothy Earl Mccoy | Vice President | 05/2021 | < 5% |
Merrill, Garrett James | Vice President | 05/2021 | < 5% |
Del Valle, Elisa Anne-marie | Vice President | 05/2021 | < 5% |
Lischin, Malissa Blake | Vice President | 05/2021 | < 5% |
Arnold, Summer Seltzer | Vice President | 05/2021 | < 5% |
Umansky, Daniel Adam | Vice President | 05/2021 | < 5% |
Taylor, Thomas Byron | Manager | 05/2021 | < 5% |
Dowell, Rodney Cammeron | Principal Financial Officer | 03/2023 | < 5% |
Gok, Lisa Anne | Secretary | 05/2021 | < 5% |
Van Havermaat, David James | Assistant Secretary | 05/2021 | < 5% |
Lee, Winnie Ai-ling | Assistant Secretary | 05/2022 | < 5% |
Holweger, Kimberley | Chief Operating Officer and Principal Operations Officer | 03/2023 | < 5% |
Latest filings (excl ownership)
D/A
Indefinite amount in other securities, sold $35.31 mm, 117 investors
23 May 24
D/A
Indefinite amount in other securities, sold $28.41 mm, 93 investors
27 Apr 23
D/A
Indefinite amount in other securities, sold $28.41 mm, 93 investors
27 Apr 23
D/A
Indefinite amount in other securities, sold $32.17M, 84 investors
29 Apr 22
D/A
Indefinite amount in other securities, sold $26.74M, 72 investors
26 May 21
D/A
Indefinite amount in other securities, sold $26.74M, 72 investors
26 May 21
D/A
Indefinite amount in other securities, sold $26.74M, 72 investors
19 May 21
D/A
Indefinite amount in other securities, sold $23.87M, 76 investors
12 May 20
D/A
Indefinite amount in other securities, sold $18.93M, 77 investors
6 May 19
D/A
Indefinite amount in other securities, sold $21.44M, 79 investors
7 May 18
Latest ownership filings
No filings