0001140361-17-017033.txt : 20170427 0001140361-17-017033.hdr.sgml : 20170427 20170427133557 ACCESSION NUMBER: 0001140361-17-017033 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20170427 DATE AS OF CHANGE: 20170427 EFFECTIVENESS DATE: 20170427 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/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-210494 FILM NUMBER: 17787826 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/A 1 primary_doc.xml X0707 D/A LIVE 0000700380 CETERA FINANCIAL SPECIALISTS LLC 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 847-330-7900 DELAWARE None GENWORTH FINANCIAL SECURITIES CORPORATION CETERA FINANCIAL SPECIALISTS LLC TERRA SECURITIES CORPORATION Limited Liability Company true Gregg Ruvoli 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Director President and Chief Executive Officer. Brian Haley 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Mark Shelson 400 First Street South Suite 300 St. Cloud MN MINNESOTA 56301 Executive Officer Jon Rothenberg 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Stan Smiley 200 N. Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Greg Olson 200 N. Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Adam Antoniades 655 W. Broadway San Diego CA CALIFORNIA 92101 Director Kristy Haley 200 N. Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer David Ballard 200 N. Sepulveda Boulevard Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Catherine Bonneau 400 First Street South Suite 300 St. Cloud MN MINNESOTA 56301 Director Investing Decline to Disclose 06b true 0001140361-16-061385 2014-01-08 true true Deferred compensation obligations false 0 Indefinite 2774859 Indefinite false 21 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC /s/ Gregg Ruvoli Gregg Ruvoli President and CEO 2017-04-18