SEC Form D · Amendment · filed April 28, 2023
CETERA FINANCIAL SPECIALISTS LLC
Rule 506(b): private placement to accredited investors, no public advertising.
People & firms on this filing (45)
David P. Van Havermaat · El Segundo, CAExecLisa P. Gok · El Segundo, CAExecRonald G. Krueger · Schaumburg, ILExec · DirectorBrian D. Haley · El Segundo, CAExecTim R. Stinson · El Segundo, CAExecStanley R. Smiley · El Segundo, CAExecMaura R. Mizuguchi · El Segundo, CAExecElayne G. Banks · Schaumburg, ILExecBarbara D. Kesterson · El Segundo, CAExecJeffrey D. Buchheister · San Diego, CAExecGary R. Chaffin · El Segundo, CAExecThomas B. Taylor · El Segundo, CADirectorNichole R. Kircher · St. Cloud, MNExecJoseph D. Neary · El Segundo, CAExec · DirectorJon H. Rothenberg · Schaumburg, ILExecRobert D. Tomicic · Houston, TXExecBrian Mooney · Belleair Bluffs, FLExecMatthew D. Coleman · Greenwich, CTExecJames F. Polk · Escondido, CAExecMichael G. Mallick · Audubon, PAExecWagner Lima · Orlando, FLExecChad Andresen · Boca Raton, FLExecEric Garland · West Hollywood, CAExecA. C. Aulds · DALLAS, TXDirectorMichael G. Creighton · Audubon, PAExecMichael J. Maher · Audubon, PAExecJenny Garcia-Amaya · Rockville Centre, NYExec · DirectorJason Albanese · Miami, FLExecCharley D. Gould · Cambridge, MAExecWilliam Clark · Dallas, TXExec · DirectorRobert Shedd · Philadelphia, PAExecStephen K. Smith · Beverly, MAExecDouglas R. Kenny · Alpharetta, GAExecRick A. Kenny · Alpharetta, GAExec · DirectorFcre Soto Management, LLC · Alpharetta, GAExecRikki Jack · Alpharetta, GAExecSajidur Rahman · Jakarta, K8ExecMaxine Jones · GRAND CAYMAN, Cayman IslandsExecTej Gujadhur · CyberCity, Ebene, O4ExecLawrence M. Schloss · New York, NYExecCraig R. Callen · New York, NYExecKathleen M. Barthmaier · New York, NYExecJeff R. Evanson · Iselin, NJDirectorPrashant Reddy · New York, NYExecMartin H. Dobbins · Luxembourg, LuxembourgExec · Director Public SEC Form D (Reg D) filing. · View issuer on SEC EDGAR ↗