United States · What does Cetera Financial Group invest in?
Cetera Financial Group says it invests in Advice, Retail and Retirement.
What they do
- Type
- Wealth manager (from a list, unverified)
- Cheque size
- Not stated
- Sectors
- AdviceRetailRetirement
- Based in
- San Diego, United States
- Cold pitches
- Not stated
The record
No rounds observed yet. That is a limit of the sources we read, not a finding about the firm. If it has invested, a round will put it here. Know a round it was in? Tell us.
The team
Named by the firm itself, on a filing, its Form ADV or its company registration19 named
AKAllan Keith ShoresTreasureriForm ADV
DJDavid James Van HavermaatAssistant SecretaryiForm ADV
GLGary Lynn ChaffinTax OfficeriForm ADV
GFGene Fitzgerald GoldmanChief Investment OfficeriForm ADV
JRJeffrey Robert BuchheisterChief Financial OfficeriForm ADV
JLJose Luis RodriguezChief Compliance OfficeriForm ADV
JDJoseph Daniel NearyVp, ManageriForm ADV
KHKimberley HolwegerChief Operating Officer and Principal Operations OfficeriForm ADV
KMKristy Marie HaleyChief Compliance Officer, AdvisoryiForm ADV
LRLeann Renee RummelVice PresidentiForm ADV
LALisa Anne GokSecretaryiForm ADV
MNMatthew Neil Kalani FriesVice PresidentiForm ADV
MRMaura Rie MizuguchiChief Accounting OfficeriForm ADV
RGRonald George KruegerVice PresidentiForm ADV
SRStanley Robert SmileyVice PresidentiForm ADV
TAThomas Andrew GooleyManageriForm ADV
TBThomas Byron TaylorChief Executive Officer & PresidentiForm ADV
WTWilliam Thomas HolloranVice PresidentiForm ADV
WAWinnie Ai-Ling LeeAssistant SecretaryiForm ADV
We also hold 23 people at this firm from the lists this database was built from: a weaker source than the filings, since a list does not say when a title ended. Login to see them.
What the register says
From the firm's own filings with the SEC, which it must file accurately by law
$257Bassets it managesOct 2026
Registeredinvestment adviserfull reporting to the SEC
- Legal name
- Cetera Investment Management LLC
- SEC number
- CRD 165436