The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities OMB APPROVAL OMB Number: Estimated average burden hours per response: 1. Issuer's Identity CIK (Filer ID Number) Previous Names None Entity Type GENWORTH FINANCIAL SECURITIES CORPORATION CETERA FINANCIAL SPECIALISTS LLC TERRA SECURITIES CORPORATION Corporation Limited Partnership Limited Liability Company General Partnership Business Trust Other (Specify) Name of Issuer CETERA FINANCIAL SPECIALISTS LLC Jurisdiction of Incorporation/Organization DELAWARE Year of Incorporation/Organization Over Five Years Ago Within Last Five Years (Specify Year) Yet to Be Formed 2. Principal Place of Business and Contact Information Name of Issuer CETERA FINANCIAL SPECIALISTS LLC Street Address 1 Street Address 2 1450 American Lane Suite 650 City State/Province/Country ZIP/PostalCode Phone Number of Issuer SCHAUMBURG ILLINOIS 3. Related Persons Last Name First Name Middle Name Krueger Ronald Street Address 1 Street Address 2 1450 American Lane Suite 650 City State/Province/Country ZIP/PostalCode Schaumburg ILLINOIS Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Neary Joseph Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Buchheister Jeffrey Street Address 1 Street Address 2 655 W. Broadway Suite 1200 City State/Province/Country ZIP/PostalCode San Diego CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Mizuguchi Maura Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Chaffin Gary Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Kesterson Barbara Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Haley Brian Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Stinson Tim Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Smiley Stanley Street Address 1 Street Address 2 2301 Rosecrans Avenue Suite 5100 City State/Province/Country ZIP/PostalCode El Segundo CALIFORNIA Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary): Last Name First Name Middle Name Kircher Nichole Street Address 1 Street Address 2 400 First Street South Suite 300 City State/Province/Country ZIP/PostalCode St.