← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（03/28/2024）
CETERA ADVISORS LLC · 所有者与执行高管（CRD 10299）
机构事实页：本库未收录该机构事实页 | 官方原文：IAPD firm-summary/10299
Schedule A · 直接所有者（22 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| SMILEY, STANLEY ROBERT | 个人 | VICE PRESIDENT | 是 | NA |
| CETERA FINANCIAL GROUP, INC. | 境内实体 | SOLE MEMBER | 是 | E |
| RAMOS, RAMON | 个人 | MONEY LAUNDERING REPORTING OFFICER | — | NA |
| HALEY, KRISTY MARIE | 个人 | ADVISORY CHIEF COMPLIANCE OFFICER | 是 | NA |
| NEARY, JOSEPH DANIEL | 个人 | MANAGER AND VICE PRESIDENT | 是 | NA |
| BUCHHEISTER, JEFFREY ROBERT | 个人 | CHIEF FINANCIAL OFFICER | 是 | NA |
| MIZUGUCHI, MAURA RIE | 个人 | CHIEF ACCOUNTING OFFICER | 是 | NA |
| CHAFFIN, GARY LYNN | 个人 | TAX OFFICER | 是 | NA |
| STINSON, TIMOTHY EARL MCCOY | 个人 | VICE PRESIDENT | 是 | NA |
| MERRILL, GARRETT JAMES | 个人 | VICE PRESIDENT | 是 | NA |
| DEL VALLE, ELISA ANNE-MARIE | 个人 | VICE PRESIDENT | 是 | NA |
| LISCHIN, MALISSA BLAKE | 个人 | VICE PRESIDENT | 是 | NA |
| ARNOLD, SUMMER SELTZER | 个人 | VICE PRESIDENT | 是 | NA |
| UMANSKY, DANIEL ADAM | 个人 | VICE PRESIDENT | 是 | NA |
| TAYLOR, THOMAS BYRON | 个人 | MANAGER | 是 | NA |
| GOK, LISA ANNE | 个人 | SECRETARY | 是 | NA |
| VAN HAVERMAAT, DAVID JAMES | 个人 | ASSISTANT SECRETARY | 是 | NA |
| LEE, WINNIE AI-LING | 个人 | ASSISTANT SECRETARY | 是 | NA |
| DOWELL, RODNEY CAMMERON | 个人 | PRINCIPAL FINANCIAL OFFICER | 是 | NA |
| HOLWEGER, KIMBERLEY | 个人 | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 是 | NA |
| HALLORAN, THOMAS WILLIAM | 个人 | CHIEF EXECUTIVE OFFICER | 是 | NA |
| MCCALLOP, PATRICIA RUTHERFORD | 个人 | BROKER DEALER CHIEF COMPLIANCE OFFICER | 是 | NA |
Schedule B · 执行高管（5 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| CETERA FINANCIAL HOLDINGS, INC | SHAREHOLDER, 100% COMMON STOCK | 是 |
| ARETEC GROUP, INC | SHAREHOLDER; 100% OF COMMON STOCK | 是 |
| GC TWO INTERMEDIATE HOLDINGS, INC. | OWNER | 是 |
| GC TWO HOLDINGS, INC. | OWNER | 是 |
| GC THREE HOLDINGS, LLC | OWNER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
