# CETERA FINANCIAL SPECIALISTS LLC — Form D/A

CETERA FINANCIAL SPECIALISTS LLC of SCHAUMBURG, IL, a company, filed a Form D amendment with the SEC on 2019-05-06. $3.3M was reported sold. Industry: Investing.

## Offering

- Filed: 2019-05-06
- Form: D/A
- Accession: 0001567619-19-009895
- Industry: Investing
- Exemptions: 06b
- Amount sold: $3.3M
- Date of first sale: 2014-01-08
- Revenue range: Decline to Disclose
- SEC file number: 021-210494

## Issuer

- Name: CETERA FINANCIAL SPECIALISTS LLC
- CIK: 0000700380
- Entity type: Limited Liability Company
- Jurisdiction: DELAWARE
- Address: 1450 AMERICAN LANE, SCHAUMBURG, IL, 60173
- Phone: 310-257-7594

## Officers, directors & promoters (47)

_Showing 25 of 47 people._

| Name | Role | Location |
| --- | --- | --- |
| Adam Antoniades | Director | El Segundo, CA |
| Catherine Bonneau | Director | EL SEGUNDO, CA |
| 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 |

## Other filings by this issuer (10)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2024-05-16](https://search.stillhousedata.com/formd/0001158649-24-000003) | D/A | — | $8.4M |
| [2023-04-28](https://search.stillhousedata.com/formd/0001567619-23-005843) | D/A | — | $6.9M |
| [2022-04-29](https://search.stillhousedata.com/formd/0001567619-22-009195) | D/A | — | $7.1M |
| [2021-05-19](https://search.stillhousedata.com/formd/0001567619-21-010729) | D/A | — | $6.2M |
| [2020-05-12](https://search.stillhousedata.com/formd/0001567619-20-009535) | D/A | — | $4.9M |
| [2018-05-07](https://search.stillhousedata.com/formd/0001140361-18-021922) | D/A | — | $3.6M |
| [2017-04-27](https://search.stillhousedata.com/formd/0001140361-17-017033) | D/A | — | $2.8M |
| [2016-04-18](https://search.stillhousedata.com/formd/0001140361-16-061385) | D/A | — | $2.0M |
| [2015-01-16](https://search.stillhousedata.com/formd/0001140361-15-002018) | D/A | — | $1.3M |
| [2014-01-22](https://search.stillhousedata.com/formd/0001140361-14-002827) | D | — | $550K |

## More

- [CIK 700380 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=700380&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001567619-19-009895.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing 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.