0001158649-24-000003.txt : 20240516 0001158649-24-000003.hdr.sgml : 20240516 20240516163116 ACCESSION NUMBER: 0001158649-24-000003 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20240516 DATE AS OF CHANGE: 20240516 EFFECTIVENESS DATE: 20240516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CETERA FINANCIAL SPECIALISTS LLC CENTRAL INDEX KEY: 0000700380 ORGANIZATION NAME: 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: 24956086 BUSINESS ADDRESS: STREET 1: 1450 AMERICAN LANE STREET 2: 6TH FLOOR, SUITE #650 CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 310-257-7594 MAIL ADDRESS: STREET 1: 1450 AMERICAN LANE STREET 2: 6TH FLOOR, SUITE #650 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 X0708 D/A LIVE 0000700380 CETERA FINANCIAL SPECIALISTS LLC 1450 AMERICAN LANE 6TH FLOOR, SUITE #650 SCHAUMBURG IL ILLINOIS 60173 310-257-7594 DELAWARE GENWORTH FINANCIAL SECURITIES CORPORATION CETERA FINANCIAL SPECIALISTS LLC TERRA SECURITIES CORPORATION Limited Liability Company true Ronald G. Krueger 1450 American Lane Suite 650 Schaumburg IL ILLINOIS 60173 Executive Officer Director Joseph D. Neary 655 W. Broadway Suite 1200 San Diego CA CALIFORNIA 92101 Executive Officer Director Jeffrey Buchheister 655 W. Broadway Suite 1200 San Diego CA CALIFORNIA 92101 Executive Officer Maura Mizuguchi 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Gary Chaffin 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Barbara Kesterson 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Tim Stinson 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Stanley R. Smiley 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Nichole Kircher 400 First Street South Suite 300 St. Cloud MN MINNESOTA 56301 Executive Officer Elayne G. Banks 1450 American Lane Suite 650 Schaumburg IL ILLINOIS 60173 Executive Officer Jon H. Rothenberg 1450 American Lane Suite 650 Schaumburg IL ILLINOIS 60173 Executive Officer Lisa Gok 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer David Van Havermaat 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Executive Officer Thomas B. Taylor 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 Director Winnie Lee 1430 Broadway 7th Floor New York NY NEW YORK 10018 Executive Officer Investing Decline to Disclose 06b true 0001567619-23-005843 2014-01-08 true true Deferred compensation obligations false 0 Indefinite 8350559 Indefinite false 37 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC /s/ Ronald G. Krueger Ronald G. Krueger President and CEO 2024-05-16