SEC Form D · Amendment · filed May 19, 2021
CETERA FINANCIAL SPECIALISTS LLC
Rule 506(b): private placement to accredited investors, no public advertising.
People & firms on this filing (51)
Barbara D. Kesterson · El Segundo, CAExecStanley R. Smiley · El Segundo, CAExecJon H. Rothenberg · Schaumburg, ILExecAndy R. Gill · El Segundo, CAExecTim R. Stinson · El Segundo, CAExecJeffrey D. Buchheister · San Diego, CAExecJanani R. Iyengar · San Diego, CAExecMaura R. Mizuguchi · El Segundo, CAExecDavid P. Van Havermaat · El Segundo, CAExecThomas B. Taylor · El Segundo, CADirectorLisa P. Gok · El Segundo, CAExecJoseph D. Neary · San Diego, CAExec · DirectorNichole R. Kircher · St. Cloud, MNExecGary R. Chaffin · El Segundo, CAExecDavid T. Kim · San Francisco, CAExecElayne R. Banks · Schaumburg, ILExecBrian D. Haley · El Segundo, CAExecRonald G. Krueger · Schaumburg, ILExec · DirectorAdam Pakes · Lake Havasu City, AZExecLarry Marcus · Culver City, CADirectorJason Albanese · Miami, FLExecFarzan D. Rhemtulla · Houston, TXExecGroup 11 GP Vi, LLC · BEVERLY HILLS, CAExecChristopher J. Borello · Morgan Hill, CAExecSorin Cismas · Palo Alto, CAExecGeorge Krautzel · Philadelphia, PAExecMichael A. Racusin · Houston, TXExecBrad D. Sanders · Houston, TXExecMichael Janke · Fulton, MDExecRobert D. Tomicic · Houston, TXExecJohn Dolemetsch · YORK, PAExec · DirectorJeffrey Rasco · Allen, TXExecPeter Pakes · Lake Havasu City, AZExecChristopher S. Schelling · Cambridge, MAExecSteven A. Ginnan · Columbus, OHDirectorMichael Speiser · San Francisco, CAExec · DirectorTimothy J. Henkel · Malvern, PAExecBrendan Lake · Conshohocken, PAExecBrendan Lake · Conshohocken, PAExecCharles Lavrentios · BURLINGTON, MAExecJohn Zilly · Portland, ORExecBradley Svrluga · NEW YORK, NYExecLee Miller · Philadelphia, PAExecRobert Shedd · Philadelphia, PAExecBrendan Dickinson · Philadelphia, PAExecJustin Goldman · Philadelphia, PAExecCian B. Robinson · Lafayette, LAExecStephen K. Smith · Beverly, MAExecElayne R. Banks · Schaumburg, ILExecBrian D. Haley · El Segundo, CAExecRonald G. Krueger · Schaumburg, ILExec · Director Public SEC Form D (Reg D) filing. · View issuer on SEC EDGAR ↗