MA
0000356437
XXXXXXXX
Amanda Vizcarra
3102577446
amanda.vizcarra@cetera.com
patty.mccallop@cetera.com
tara.staker@cetera.com
marilyn.miles@cetera.com
CETERA ADVISORS LLC
10299
84-0858799
008-26892
10299
5299 DTC BLVD #800
SUITE 300
GREENWOOD VILLAGE
CO
80111
310-257-7781
Y
400 FIRST STREET SOUTH
SUITE 300
SAINT CLOUD
MN
56301
CETERA.COM
PATRICIA
RUTHERFORD
MCCALLOP
655 W. Broadway
12th Floor
San Diego
CA
92101
310-257-7781
patty.mccallop@cetera.com
Amanda
Caroline
Vizcarra
2301 Rosecrans Ave
Suite 5100
El Segundo
CA
90245
310-257-7446
amanda.vizcarra@cetera.com
NewAdd
PERSHING LLC
1 PERSHING PLAZA
JERSEY CITY
NJ
07399
201-413-2000
FULLY DISCLOSED CUSTOMER CLEARING AGREEMENT
NewAdd
DOCUPACE TECHNOLOGIES, INC.
201 S BARRINGTON AVE
Suite 215
LOS ANGELES
CA
90025
310-445-7722
ELECTRONIC RECORD KEEPER FOR GENERAL ACCOUNT DOCUMENTATION AND PROCESSING
NewAdd
ALBRIDGE SOLUTIONS, INC.
ONE PERSHING PLAZA
JERSEY CITY
NJ
07399
877-252-9970
ELECTRONIC RECORD KEEPER FOR ORDER TICKETS.
NewAdd
SMARSH
851 SW 6TH AVE #800
PORTLAND
OR
97204
503-946-5980
ELECTRONIC RECORD KEEPER FOR ARCHIVING EMAILS, INSTANT MESSAGES, SOCIAL MEDIA AND TRADE BLOTTERS.
NewAdd
NATIONAL REGULATORY SERVICES, A DIVISION OF ACCUITY, INC.
323 - A MAIN STREET
LAKEVILLE
CT
06039
860-435-0200
BRANCH INSPECTION MODULES FOR MONITORING AND RECORD RETENTION
CETERA WEALTH SERVICES, LLC
Y
SEC / FINRA
CRD#: 13572/SEC#: 801-47342,8-29577
CETERA FINANCIAL SPECIALISTS LLC
Y
SEC / FINRA
CRD#: 10358/SEC#: 8-27082
CETERA INVESTMENT SERVICES LLC
Y
SEC / FINRA
CRD#: 15340/SEC#: 8-31826
CETERA INVESTMENT ADVISORS LLC
Y
SEC
CRD # 105644/SEC#:801-20406
CETERA PLANNING PARTNERS
Y
SEC
CRD # 129625/SEC#:801-62655
AVANTAX PLANNING PARTNERS, INC.
Y
SEC
CRD # 106237/SEC#:801-50939
CETERA INVESTMENT MANAGEMENT LLC
Y
SEC
CRD # 165436/SEC#:801-77403
CETERA ADVISORY SERVICES LLC
Y
SEC
CRD # 285648/SEC#:801-108603
December
DE
08-31-2012
N
6
6
6
6
0
0
Not Applicable
0
0
0
Other
N/A - Firm will not conduct solicitation activities
Hourly Charges
Fixed Fees
Not Applicable
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
6
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PATRICIA RUTHERFORD MCCALLOP
CETERA
Y
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PAUL THOMAS CARTER JR
CETERA
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
JACOB MICHAEL HELBERG
CETERA
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
SCOTT BARRETT HOXIE
CETERA
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
JACQUELYN KAY LEV
CETERA
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
RYAN GREGORY NEWTON
CETERA
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Additional Third Party Record Keepers:
FMG Suite, LLC
Organization Name: FMG Suite, LLC
Street Address 1: 12395 World Trade Dr #200
Street Address 2: N/A
City: San Diego
State: CA
Postal Code: 92128
Phone Number: (858) 251-2420
Nature of Reference or Arrangement: Electronic record keeper of supervisory and compliance policies and procedures.
Biznews24.com, Inc. d/b/a Pinpoint Global Communications
Organization Name: Biznews24.com, Inc. d/b/a Pinpoint Global Communications
Street Address 1: 9 Trafalgar Square
Street Address 2: Suite 150
City: Nashua
State: NH
Postal Code: 03063
Phone Number: (603) 880-8130
Nature of Reference or Arrangement: Electronic storage media for certain books and records on or after May 1, 2020.
SiteQuest, Inc.
Organization Name: SiteQuest, Inc.
Street Address 1: 707 W 700 S Suite 101
Street Address 2: N/A
City: Woods Cross
State: UT
Postal Code: 84087
Phone Number: (801) 896-0951
Nature of Reference or Arrangement: Electronic storage media exclusively for certain books and records on or after November 1, 2020.
Microsoft Corporation
Organization Name: Microsoft Corporation
Street Address 1: One Microsoft Way
Street Address 2: N/A
City: Redmond
State: WA
Postal Code: 98052
Phone Number: (425) 882-8080
Nature of Reference or Arrangement: Microsoft Corporation or an affiliate provides electronic storage media exclusively for certain books and records.
Broadridge Securities Processing Solutions, LLC
Organization Name: Broadridge Securities Processing Solutions, LLC
Street Address 1: 5 Dakota Drive
Street Address 2: Suite 300
City: Lake Success
State: NY
Postal Code: 11042
Phone Number: (516) 472-5400
Nature of Reference or Arrangement: Electronic recordkeeping system for certain books and records on or after August 4, 2025.
Box, Inc.
Organization Name: Box, Inc.
Street Address 1: 900 Jefferson Ave
Street Address 2: N/A
City: Redwood City
State: CA
Postal Code: 94063
Phone Number: (877) 729-4269
Nature of Reference or Arrangement: Electronic recordkeeping system for certain books and records on or after September 1, 2025.
Red Oak Compliance Software, LLC
Organization Name: Red Oak Compliance Software, LLC
Street Address 1: 12707 Riata Vista Circle
Street Address 2: Suite B100
City: Austin
State: TX
Postal Code: 78727
Phone Number: (888) 302-4594
Nature of Reference or Arrangement: Electronic recordkeeping system for electronic communications books and records on or after June 9, 2026, pursuant to SEC Rules 17a-3 and 17a-4.
MirrorWeb
Organization Name: MirrorWeb
Street Address 1: 701 Brazos St
Street Address 2: Suite 970
City: Austin
State: TX
Postal Code: 78701
Phone Number: (737) 708-6746
Nature of Reference or Arrangement: Electronic recordkeeping system for electronic communications books and records on or after June 9, 2026, pursuant to SEC Rule 17a-4(f)(3)(v)(A).
N
N
N
N
N
Y
N
N
Y
N
Y
N
Y
N
N
Y
N
N
N
N
Y
N
N
N
N
N
CETERA FINANCIAL GROUP, INC.
N
30-0588666
SOLE MEMBER
12-01-2010
E
Y
ARNOLD
SELTZER
SUMMER
VICE PRESIDENT
05-01-2021
NA
Y
2954103
JEFFREY
ROBERT
BUCHHEISTER
CHIEF FINANCIAL OFFICER
05-01-2021
NA
Y
4709900
SERGE
NMN
BUDEVICH
VICE PRESIDENT AND TAX OFFICER
08-01-2025
NA
Y
7996345
ELISA
ANNE-MARIE
DEL VALLE
VICE PRESIDENT
05-01-2021
NA
Y
4807911
RODNEY
CAMMERON
DOWELL
PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT
02-01-2025
NA
Y
7376607
LISA
ANNE
GOK
SECRETARY
05-01-2021
NA
Y
5059738
THOMAS
WILLIAM
HALLORAN
CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER
03-01-2024
NA
Y
1921834
KIMBERLEY
NMN
HOLWEGER
CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER
03-01-2023
NA
Y
1572778
WINNIE
AI-LING
LEE
ASSISTANT SECRETARY
05-01-2022
NA
Y
7381661
TODD
CHRISTOPHER
MACKAY
MANAGER
01-01-2025
NA
Y
2799860
PATRICIA
RUTHERFORD
MCCALLOP
BROKER DEALER CHIEF COMPLIANCE OFFICER
01-01-2024
NA
Y
5059176
GARRETT
JAMES
MERRILL
VICE PRESIDENT
05-01-2021
NA
Y
4306692
CHRISTIAN
WINFIELD
MITCHELL
VICE PRESIDENT
06-01-2026
NA
Y
6766944
MAURA
NMN
MIZUGUCHI
CHIEF ACCOUNTING OFFICER AND TREASURER
03-01-2024
NA
Y
5769181
MICHAEL
JAMES
MOLNAR
VICE PRESIDENT
06-01-2026
NA
Y
4866129
JOSEPH
DANIEL
NEARY
MANAGER AND VICE PRESIDENT
05-01-2021
NA
Y
2993505
ERIK
BRADLEY
NILAND
VICE PRESIDENT
06-01-2026
NA
Y
2796476
GERALD
NMN
PATTERSON
VICE PRESIDENT
03-01-2026
NA
Y
4302538
RAMON
NMN
RAMOS
MONEY LAUNDERING REPORTING OFFICER
02-01-2013
NA
Y
2160203
STANLEY
ROBERT
SMILEY
VICE PRESIDENT
02-01-2006
NA
Y
3004604
TIMOTHY
EARL MCCOY
STINSON
VICE PRESIDENT
05-01-2021
NA
Y
2272183
DAVID
JAMES
VAN HAVERMAAT
ASSISTANT SECRETARY
05-01-2021
NA
Y
7042846
RICHARD
CHARLES
VOGEL
VICE PRESIDENT
10-01-2025
NA
Y
4024999
CETERA FINANCIAL HOLDINGS, INC.
ARETEC GROUP, INC
N
38-3894716
SHAREHOLDER; 100% OF COMMON STOCK
04-01-2014
E
Y
CETERA FINANCIAL GROUP, INC
CETERA FINANCIAL HOLDINGS, INC
N
30-0588663
SHAREHOLDER, 100% COMMON STOCK
11-01-2009
E
Y
GC TWO HOLDINGS, INC.
GC THREE HOLDINGS, LLC
N
93-3649136
OWNER
10-01-2023
E
Y
GC TWO INTERMEDIATE HOLDINGS, INC.
GC TWO HOLDINGS, INC.
N
83-1186231
OWNER
10-01-2018
F
Y
ARETEC GROUP, INC.
GC TWO INTERMEDIATE HOLDINGS, INC.
N
83-1196263
OWNER
10-01-2018
F
Y
9-E2
CETERA ADVISORS LLC
10299
2460422
9-C2
9-C5
CETERA ADVISORS LLC
10299
2149921
9-D2
CETERA ADVISORS LLC
10299
2146590
9-E2
CETERA ADVISORS LLC
10299
2101098
9-D2
CETERA ADVISORS LLC
10299
1937366
9-E2
CETERA ADVISORS LLC
10299
1933030
9-E2
CETERA ADVISORS LLC
10299
1833631
9-D2
9-E2
CETERA ADVISORS LLC
10299
1448520
9-D2
CETERA ADVISORS LLC
10299
1411693
9-E2
CETERA ADVISORS LLC
10299
1375662
9-E2
CETERA ADVISORS LLC
10299
1369711
9-E2
CETERA ADVISORS LLC
10299
1306897
9-D2
9-D4
CETERA ADVISORS LLC
10299
1206732
9-D2
9-D4
CETERA ADVISORS LLC
10299
203637
9-E2
CETERA ADVISORS LLC
10299
1314303
9-H1a
CETERA ADVISORS LLC
10299
2044491
AMANDA VIZCARRA
AMANDA VIZCARRA
DEPUTY CHIEF COMPLIANCE OFFICER
09-29-2026
4182672
N
N
N
N
N
N
N
N
Y
N
Y
N
Y
N
N
N
N
N
Y
N
N