← 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（01/31/2014）
CETERA INVESTMENT SERVICES LLC · 所有者与执行高管（CRD 15340）
机构事实页：本库未收录该机构事实页 | 官方原文：IAPD firm-summary/15340
Schedule A · 直接所有者（14 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| HOLWEGER, KIMBERLEY ANN | 个人 | VICE PRESIDENT AND DIRECTOR OF OPERATIONS AND CLEARING | 是 | NA |
| REINHOLZ, CHRISTOPHER JON | 个人 | VICE PRESIDENT AND DIRECTOR OF TRADING | 是 | NA |
| RUMMEL, LEANN RENEE | 个人 | VICE PRESIDENT AND NATIONAL SALES DIRECTOR | 是 | NA |
| SHELSON, MARK PAUL | 个人 | VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 是 | NA |
| BONNEAU, CATHERINE MCCORMACK | 个人 | PRESIDENT, CEO, MANAGER | 是 | NA |
| CASEY, SEAN PATRICK | 个人 | VICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT | 是 | NA |
| SMILEY, STANLEY ROBERT | 个人 | VICE PRESIDENT | 是 | NA |
| BURNS, MICHAEL DENNIS | 个人 | VICE PRESIDENT , CHIEF COMPLIANCE OFFICER AND SECRETARY | 是 | NA |
| CETERA FINANCIAL GROUP, INC. | 境内实体 | SOLE MEMBER | 是 | E |
| BROWN, VALERIE GAY | 个人 | MANAGER, CHAIRMAN | 是 | NA |
| HAMEL, CYNTHIA A | 个人 | VICE PRESIDENT | 是 | NA |
| SHAY, JAMES WALTER | 个人 | HEAD OF RISK MANAGEMENT | 是 | NA |
| DUNLAP, STEVEN JAMES JR | 个人 | VICE PRESIDENT AND MANAGER | 是 | NA |
| SHAH, AMI | 个人 | ADVISORY CHIEF COMPLIANCE OFFICER | 是 | NA |
Schedule B · 执行高管（6 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| CETERA FINANCIAL HOLDINGS, INC. | SOLE MEMBER | 是 |
| LIGHTYEAR FUND II, L.P. | SHAREHOLDER; 79.3% OF COMMON STOCK | 是 |
| LIGHTYEAR FUND II GP, L.P. | GENERAL PARTNER | 是 |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | GENERAL PARTNER | 是 |
| LY HOLDINGS, LLC | MANAGING MEMBER | 是 |
| VASSALLO, MARK FRANCIS | MANAGING MEMEBER | 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。
