← 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（12/13/2024）
CETERA INVESTMENT ADVISERS LLC · 所有者与执行高管（CRD 105644）
机构事实页：CETERA INVESTMENT ADVISERS LLC 事实页 → | 官方原文：IAPD firm-summary/105644
Schedule A · 直接所有者（16 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| CETERA FINANCIAL SPECIALISTS SERVICES LLC | 境内实体 | SOLE MEMBER | 是 | E |
| SMILEY, STANLEY, ROBERT | 个人 | VICE PRESIDENT | 是 | NA |
| HALEY, KRISTY, MARIE | 个人 | CHIEF COMPLIANCE OFFICER, ADVISORY | 是 | NA |
| RUMMEL, LEANN, RENEE | 个人 | VICE PRESIDENT | — | NA |
| NEARY, JOSEPH, DANIEL | 个人 | VP, MANAGER | 是 | NA |
| Taylor, Thomas, Byron | 个人 | CHIEF EXECUTIVE OFFICER & PRESIDENT | 是 | NA |
| Mizuguchi, Maura, Rie | 个人 | CHIEF ACCOUNTING OFFICER | 是 | NA |
| Chaffin, Gary, Lynn | 个人 | TAX OFFICER | 是 | NA |
| KRUEGER, RONALD, GEORGE | 个人 | VICE PRESIDENT | 是 | NA |
| GOK, LISA, ANNE | 个人 | SECRETARY | 是 | NA |
| BUCHHEISTER, JEFFREY, ROBERT | 个人 | CHIEF FINANCIAL OFFICER | 是 | NA |
| Gooley, Thomas, Andrew | 个人 | MANAGER | 是 | NA |
| SHORES, ALLAN, KEITH | 个人 | TREASURER | — | NA |
| LEE, WINNIE, AI-LING | 个人 | ASSISTANT SECRETARY | — | NA |
| HOLWEGER, KIMBERLEY | 个人 | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 是 | NA |
| HOLLORAN, WILLIAM, THOMAS | 个人 | VICE PRESIDENT | — | NA |
Schedule B · 执行高管（6 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | 是 |
| CETERA FINANCIAL HOLDINGS, INC. | OWNER | 是 |
| ARETEC GROUP, INC. | OWNER | 是 |
| GC TWO INTERMEDIATE HOLDINGS, INC | OWNER | 是 |
| GC TWO HOLDINGS, INC | OWNER | 是 |
| GC THREE HOLDINGS, LLC | OWNER | — |
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。
