SEC Form D · Amendment · filed May 16, 2024
CETERA FINANCIAL SPECIALISTS LLC
Rule 506(b): private placement to accredited investors, no public advertising.
People & firms on this filing (45)
Stanley R. Smiley · El Segundo, CAExecJon H. Rothenberg · Schaumburg, ILExecThomas B. Taylor · El Segundo, CADirectorGary R. Chaffin · El Segundo, CAExecBarbara D. Kesterson · El Segundo, CAExecMaura R. Mizuguchi · El Segundo, CAExecNichole R. Kircher · St. Cloud, MNExecTim R. Stinson · El Segundo, CAExecDavid P. Van Havermaat · El Segundo, CAExecLisa P. Gok · El Segundo, CAExecRonald G. Krueger · Schaumburg, ILExec · DirectorWinnie B. Lee · New York, NYExecJoseph D. Neary · San Diego, CAExec · DirectorElayne G. Banks · Schaumburg, ILExecJeffrey D. Buchheister · San Diego, CAExecWinnie B. Lee · New York, NYExecMatthew D. Coleman · Greenwich, CTExecEric Garland · West Hollywood, CAExecCharley D. Gould · Cambridge, MAExecBrian Mooney · Belleair Bluffs, FLExecMichael G. Creighton · Audubon, PAExecJason Albanese · Miami, FLExecRobert D. Tomicic · Houston, TXExecMichael G. Mallick · Audubon, PAExecA. C. Aulds · DALLAS, TXDirectorMichael J. Maher · Audubon, PAExecChad Andresen · Boca Raton, FLExecJames F. Polk · Escondido, CAExecJenny Garcia-Amaya · Rockville Centre, NYExec · DirectorJeb J. Belford · New York, NYExec · DirectorRobert Shedd · Philadelphia, PAExecStephen K. Smith · Beverly, MAExecDouglas R. Kenny · Alpharetta, GAExecFcre Soto Management, LLC · Alpharetta, GAExecRikki Jack · Alpharetta, GAExecSajidur Rahman · Jakarta, K8ExecMaxine Jones · GRAND CAYMAN, Cayman IslandsExecLawrence 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 · DirectorMilind O. Joshi · Mumbai, K7Exec · DirectorSung B. Cho · New York, NYExec Public SEC Form D (Reg D) filing. · View issuer on SEC EDGAR ↗