CETERA FINANCIAL SPECIALISTS LLC of SCHAUMBURG, IL, a company, filed a Form D amendment with the SEC on 2018-05-07. $3.6M was reported sold. Industry: Investing.
Showing 25 of 47 people.
| Name | Role | Location |
|---|---|---|
| David Ballard | Executive Officer | New York, NY |
| Valerie Brown | Director | New York, NY |
| Valerie Brown | Executive Officer | New York, NY |
| Jon Frojen | Director | New York, NY |
| Jon Frojen | Executive Officer | New York, NY |
| Winnie B Lee | Executive Officer | New York, NY |
| Stanley R Smiley | Executive Officer | El Segundo, CA |
| Joseph D Neary | Director | San Diego, CA |
| Joseph D Neary | Executive Officer | San Diego, CA |
| Thomas B Taylor | Director | El Segundo, CA |
| Jeffrey D Buchheister | Executive Officer | San Diego, CA |
| Nichole R Kircher | Executive Officer | St. Cloud, MN |
| Gary D Chaffin | Executive Officer | El Segundo, CA |
| Tim D Stinson | Executive Officer | El Segundo, CA |
| Barbara D Kesterson | Executive Officer | El Segundo, CA |
| Jon H Rothenberg | Executive Officer | Schaumburg, IL |
| Maura D Mizuguchi | Executive Officer | El Segundo, CA |
| Lisa H Gok | Executive Officer | El Segundo, CA |
| Elayne G Banks | Executive Officer | Schaumburg, IL |
| David H Van Havermaat | Executive Officer | El Segundo, CA |
| Ronald G Krueger | Director | Schaumburg, IL |
| Ronald G Krueger | Executive Officer | Schaumburg, IL |
| Brett Harrison | Director | Chicago, IL |
| Lisa Gok | Executive Officer | El Segundo, CA |
| Adam Antoniades | Director | El Segundo, CA |
| Filed | Form | Offering | Sold |
|---|---|---|---|
| 2024-05-16 | D/A | — | $8.4M |
| 2023-04-28 | D/A | — | $6.9M |
| 2022-04-29 | D/A | — | $7.1M |
| 2021-05-19 | D/A | — | $6.2M |
| 2020-05-12 | D/A | — | $4.9M |
| 2019-05-06 | D/A | — | $3.3M |
| 2017-04-27 | D/A | — | $2.8M |
| 2016-04-18 | D/A | — | $2.0M |
| 2015-01-16 | D/A | — | $1.3M |
| 2014-01-22 | D | — | $550K |