CETERA INVESTMENT MANAGEMENT LLC
Adviser information for CETERA INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 19 |
| Registered State Investment Advisers | 24 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | COMMENTARY ON GENERAL MARKET CONDITIONS, PROVIDE ASSET ALLOCATION AND MODEL PORTFOLIOS TO OTHER INVESTMENT ADVISERS. |
|---|---|
| Compensation | NO COMPENSATION RECEIVED |
Principal Office
1450 AMERICAN LANESUITE 650
SCHAMBURG
IL
United States
Monday - Friday, 9:00 TO 5:00 PT
Tel: 310-257-7880, Fax: 877-338-2161
Chief Compliance Officer
JOSE RODRIGUEZ
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel:
310-257-7526
J*************@*********M
(Full email address available in API data)
Regulatory Contact
KRISTY HALEY
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel:
310-257-7532
K***********@*********M
(Full email address available in API data)
Industry Affiliates
| ASSOCIATES IN EXCELLENCE, INC. | Pension consultant |
| AVANTAX ADVISORY SERVICES | Other investment adviser, including financial planners |
| AVANTAX INVESTMENT SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AVANTAX PLANNING PARTNERS, INC. | Other investment adviser, including financial planners |
| CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC | Insurance company or agency |
| CETERA ADVISOR NETWORKS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CETERA ADVISORS INSURANCE SERVICES LLC | Insurance company or agency |
| CETERA ADVISORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisor |
| CETERA ADVISORY SERVICES LLC | Other investment adviser, including financial planners |
| CETERA FINANCIAL SPECIALISTS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| CETERA INSURANCE AGENCY LLC | Insurance company or agency |
| CETERA INVESTMENT ADVISERS LLC | Other investment adviser, including financial planners |
| CETERA INVESTMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| CETERA RETIREMENT PLAN SPECIALISTS | Pension consultant |
| CETERA TRUST COMPANY, N.A. | Trust company |
| FASI INSURANCE SERVICES, INC. | Insurance company or agency |
| FASI OF TX, INC. | Insurance company or agency |
| NFG BROKERAGE, LLC | Insurance company or agency |
| THE RETIREMENT PLANNING GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDMAN, GENE, FITZGERALD | Individual | – | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | 07/2017 | < 5% |
| SMILEY, STANLEY, ROBERT | Individual | – | VICE PRESIDENT | 11/2012 | < 5% |
| CETERA FINANCIAL GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 11/2012 | > 75% |
| CETERA FINANCIAL HOLDINGS, INC. | Domestic Entity | CETERA FINANCIAL GROUP, INC | OWNER | 10/2009 | > 75% |
| ARETEC GROUP, INC. | Domestic Entity | CETERA FINANCIAL HOLDINGS, INC. | OWNER | 10/2009 | > 75% |
| SHORES, ALLAN, KEITH | Individual | – | TREASURER | 07/2017 | < 5% |
| NEARY, JOSEPH, DANIEL | Individual | – | MANAGER/DIRECTOR | 05/2019 | < 5% |
| RODRIGUEZ, JOSE, LUIS | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2018 | < 5% |
| Taylor, Thomas, Byron | Individual | – | CEO, PRESIDENT | 04/2021 | < 5% |
| BUCHHEISTER, JEFFREY, ROBERT | Individual | – | CHIEF FINANCIAL OFFICER | 04/2021 | < 5% |
| Mizuguchi, Maura, Rie | Individual | – | CHIEF ACCOUNTING OFFICER | 04/2021 | < 5% |
| Chaffin, Gary, Lynn | Individual | – | TAX OFFICER | 04/2021 | < 5% |
| GOK, LISA, ANNE | Individual | – | SECRETARY | 04/2021 | < 5% |
| Van Havermaat, David, James | Individual | – | ASSISTANT SECRETARY | 04/2021 | < 5% |
| LEE, WINNIE, AI-LING | Individual | – | ASSISTANT SECRETARY | 05/2022 | < 5% |
| GC TWO INTERMEDIATE HOLDINGS, INC | Domestic Entity | ARETEC GROUP, INC. | OWNER | 12/2012 | > 75% |
| GC TWO HOLDINGS, INC | Domestic Entity | GC TWO INTERMEDIATE HOLDINGS, INC | OWNER | 07/2018 | > 75% |
| GC THREE HOLDINGS, LLC | Domestic Entity | GC TWO HOLDINGS, INC | OWNER | 07/2018 | > 75% |
| CETERA FINANCIAL GROUP, INC | Domestic Entity | CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | 10/2009 | > 75% |
No. Employees, Historic
No. Clients, Historic
Holdings
From latest 13F, filed February 8th, 2018 for period ending December 31st, 2017
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| None | 0 | 0 | 0 | – |