0001140361-14-002827.txt : 20140122 0001140361-14-002827.hdr.sgml : 20140122 20140122115403 ACCESSION NUMBER: 0001140361-14-002827 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20140122 DATE AS OF CHANGE: 20140122 EFFECTIVENESS DATE: 20140122 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CETERA FINANCIAL SPECIALISTS LLC CENTRAL INDEX KEY: 0000700380 IRS NUMBER: 363120284 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-210494 FILM NUMBER: 14539569 BUSINESS ADDRESS: STREET 1: 200 NORTH MARTINGALE ROAD STREET 2: SEVENTH FLOOR CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 847-330-7995 MAIL ADDRESS: STREET 1: 200 NORTH MARTINGALE ROAD STREET 2: SEVENTH FLOOR CITY: SCHAUMBURG STATE: IL ZIP: 60173 FORMER COMPANY: FORMER CONFORMED NAME: GENWORTH FINANCIAL SECURITIES CORPORATION DATE OF NAME CHANGE: 20121108 FORMER COMPANY: FORMER CONFORMED NAME: CETERA FINANCIAL SPECIALISTS LLC DATE OF NAME CHANGE: 20121102 FORMER COMPANY: FORMER CONFORMED NAME: GENWORTH FINANCIAL SECURITIES CORPORATION DATE OF NAME CHANGE: 20050725 D 1 primary_doc.xml X0707 D LIVE 0000700380 CETERA FINANCIAL SPECIALISTS LLC 200 NORTH MARTINGALE ROAD SEVENTH FLOOR SCHAUMBURG IL ILLINOIS 60173 847-330-7900 DELAWARE None GENWORTH FINANCIAL SECURITIES CORPORATION CETERA FINANCIAL SPECIALISTS LLC TERRA SECURITIES CORPORATION Limited Liability Company true Enrique Vasquez c/o Cetera Financial Specialists, LLC 200 North Martingale Road Schaumburg IL ILLINOIS 60173-2096 Executive Officer Jon Frojen 200 North Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245-5670 Executive Officer Director Valerie Brown 200 North Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245-5670 Executive Officer Director Investing Decline to Disclose 06b false 2014-01-08 true true Deferred compensation obligations false 0 Indefinite 549530 Indefinite false 15 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC Enrique Vasquez Enrique Vasquez President and CEO 2014-01-14