0001567619-23-005843.txt : 20230428 0001567619-23-005843.hdr.sgml : 20230428 20230428155246 ACCESSION NUMBER: 0001567619-23-005843 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20230428 DATE AS OF CHANGE: 20230428 EFFECTIVENESS DATE: 20230428 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: 23865572 BUSINESS ADDRESS: STREET 1: 1450 AMERICAN LANE STREET 2: 6TH FLOOR, SUITE #650 CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 847-330-7995 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 Suite 650 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 1450 American Lane Suite 650 Schaumburg IL ILLINOIS 60173 Executive Officer Director Joseph D. Neary 2301 Rosecrans Avenue Suite 5100 El Segundo CA CALIFORNIA 90245 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 Brian Haley 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 Investing Decline to Disclose 06b true 0001567619-22-009195 2014-01-08 true true Deferred compensation obligations false 0 Indefinite 6888969 Indefinite false 35 0 0 0 false CETERA FINANCIAL SPECIALISTS LLC /s/ Ronald G. Krueger Ronald G. Krueger President and CEO 2023-04-28