0001567619-20-009535.txt : 20200512 0001567619-20-009535.hdr.sgml : 20200512 20200512112256 ACCESSION NUMBER: 0001567619-20-009535 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20200512 DATE AS OF CHANGE: 20200512 EFFECTIVENESS DATE: 20200512 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: 20867622 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 X0708 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 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. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Greg Olson 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Joseph Neary 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Director Brian Haley 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Investing Decline to Disclose 06b true 0001140361-14-002827 2014-01-08 true true Deferred compensation obligations false 0 Indefinite 4872938 Indefinite false 25 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC /s/ Gregg Ruvoli Gregg Ruvoli President and CEO 2020-05-11