0001567619-21-010729.txt : 20210519 0001567619-21-010729.hdr.sgml : 20210519 20210519164410 ACCESSION NUMBER: 0001567619-21-010729 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20210519 DATE AS OF CHANGE: 20210519 EFFECTIVENESS DATE: 20210519 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: 21940888 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 Ronald G. Krueger 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Director Joseph D. Neary 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Director Jeffrey Buchheister 655 W. Broadway Suite 1200 San Diego CA CALIFORNIA 92101 Executive Officer Maura Mizuguchi 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Janani Iyengar 655 W. Broadway Suite 1200 San Diego CA CALIFORNIA 92101 Executive Officer Gary Chaffin 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Barbara Kesterson 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Brian Haley 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Tim Stinson 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Stanley R. Smiley 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Nichole Kircher 400 First Street South Suite 300 St. Cloud MN MINNESOTA 56301 Executive Officer Andy Gill 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Elayne Banks 200 North Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Jon H. Rothenberg 200 N. Martingale Road Schaumburg IL ILLINOIS 60173 Executive Officer Lisa Gok 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer David Kim 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer David Van Havermaat 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Executive Officer Thomas B. Taylor 200 N. Pacific Coast Highway Suite 1200 El Segundo CA CALIFORNIA 90245 Director Investing Decline to Disclose 06b true 0001140361-14-002827 2014-01-08 true true Deferred compensation obligation false 0 Indefinite 6164732 Indefinite false 26 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC /s/ Ronald G. Krueger Ronald G. Krueger President and CEO 2021-05-19