# CETERA INVESTMENT MANAGEMENT LLC

CETERA INVESTMENT MANAGEMENT LLC of SCHAMBURG, IL is an SEC-registered investment adviser.

## Registration

- CRD: 165436
- Type: SEC-registered investment adviser
- SEC file number: 801-77403
- Location: 1450 AMERICAN LANE, SUITE 650, SCHAMBURG, IL, 60173
- Phone: 310-257-7880
- Latest filing: 2026-04-01
- Clients: 25

## Business model

- Compensation: Other
- Clients served: Other

## Officers, owners & control persons (61)

_Showing 25 of 61 people._

| Name | Role | Location |
| --- | --- | --- |
| Jose Luis Rodriguez | CHIEF COMPLIANCE OFFICER | Luxembourg, N4 |
| Jeffrey Robert Buchheister | CHIEF FINANCIAL OFFICER | — |
| Maura Rie Mizuguchi | CHIEF ACCOUNTING OFFICER | — |
| Thomas Andrew Gooley | MANAGER | — |
| Joseph Daniel Neary | MANAGER, VP, CEO, PRESIDENT | — |
| Stanley Robert Smiley | VICE PRESIDENT | — |
| Lisa Anne Gok | SECRETARY | — |
| Allan Keith Shores | TREASURER | — |
| David James Van Havermaat | ASSISTANT SECRETARY | — |
| Winnie Ai-Ling Lee | ASSISTANT SECRETARY | — |
| Tamas Vays | MANAGER | — |
| Serge Budevich | VICE PRESIDENT, TAX OFFICER | — |
| Todd Christopher Mackay | MANAGER | — |
| Matthew Neil Kalani Fries | VICE PRESIDENT | — |
| Thomas Gooley | MANAGER | — |
| Gene Fitzgerald Goldman | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER, MANAGER | — |
| Gary Lynn Chaffin | TAX OFFICER | — |
| Jeremy Scott Carr | SECRETARY | — |
| Thomas Byron Taylor | CEO, PRESIDENT | — |
| GOK LISA ANNE | ASSISTANT SECRETARY; SECRETARY | — |
| SHELSON MARK PAUL | CHIEF FINANCIAL OFFICER AND TREASURER; TREASURER | — |
| HAMEL CYNTHIA A | MANAGER | — |
| VASQUEZ ENRIQUE MARTIN | MANAGER; PRESIDENT AND CEO | — |
| COLUMBUS CRAIG EDWARD | PRESIDENT; PRESIDENT AND CEO | — |
| MINDLIN JEFFREY JOEL | EXECUTIVE DIRECTOR & CO-CIO | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/165436/brochure
- Similar advisers: https://search.stillhousedata.com/firm/165436/similar
- Related entities: https://search.stillhousedata.com/firm/165436/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/165436

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.