SEC Form D · Amendment · filed April 27, 2017
CETERA FINANCIAL SPECIALISTS LLC
Rule 506(b): private placement to accredited investors, no public advertising.
People & firms on this filing (30)
Kristy B. Haley · El Segundo, CAExecDavid Ballard · El Segundo, CAExecJon H. Rothenberg · Schaumburg, ILExecGregg Ruvoli · Schaumburg, ILExec · DirectorGreg S. Olson · El Segundo, CAExecCatherine Bonneau · St. Cloud, MNDirectorAdam B. Antoniades · San Diego, CADirectorStan S. Smiley · El Segundo, CAExecMark B. Shelson · St. Cloud, MNExecBrian Haley · Schaumburg, ILExecAndrew W. Terris · Boston, MAExecBrett Faulds · SEATTLE, WAExecMichael W. Rubel · New Canaan, CTExecMichael A. Racusin · Houston, TXExecCynthia S. Lavoie · Cambridge, MAExecAlfred Ducharme · Orlando, FLDirectorTucker Manion · Denver, CODirectorDon Seymour · Grand Cayman, Cayman IslandsExec · DirectorJohn H. Aiken · San Francisco, CAExecMark C. Abrahamsen · New York, NYExecJames G. Latham · Grayson, GAExecJames A. Parsons · New Canaan, CTExecGeoffrey G. Faux · Atlanta, GAExecHarry S. Palmin · Cambridge, MAExec · DirectorChristopher S. Schelling · Cambridge, MAExecCosmas N. Lykos · Costa Mesa, CADirectorWilliam B. Kuesel · NEW YORK, NYExecJames B. Elworth · NEW YORK, NYExecJoseph N. Marconi · Boston, MADirectorJeffery B. Risinger · Carmel, INExec Public SEC Form D (Reg D) filing. · View issuer on SEC EDGAR ↗