CETERA ADVISORY SERVICES LLC
CRD #285648 SEC #801-108603 EL SEGUNDO, CA 310-257-7880
SEC Registered
Total AUM
--
Discretionary
--
Employees
12
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 4, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | PRESIDENT | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| ARETEC | DE | SOLE MEMBER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BALLARD, JAMES, DAVID | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| Budevich, Serge | I | VICE PRESIDENT, TAX OFFICER | NA | |
| Budevich, Serge | I | VICE PRESIDENT, TAX OFFICER | NA | |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | NA | Control |
| Carr, Jeremy, Scott | I | ASSISTANT SECRETARY | NA | |
| Carr, Jeremy, Scott | I | ASSISTANT SECRETARY | NA | |
| Carr, Jeremy, Scott | I | ASSISTANT SECRETARY | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOOLEY, THOMAS, ANDREW | I | VICE PRESIDENT, MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | VICE PRESIDENT, MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | VICE PRESIDENT, MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | VICE PRESIDENT, MANAGER | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas | I | VICE PRESIDENT, MANAGER | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas, Andrew | I | VICE PRESIDENT | NA | |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | CHIEF COMPLIANCE OFFICER/ SECRETARY | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEY, KRISTY, MARIE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| HARRISON, BRETT, LAMAR | I | MANAGER | NA | Control |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| KIM, DAVID | I | ASSISTANT SECRETARY | NA | |
| KIM, DAVID | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| Lee, Winnie | I | ASSISTANT SECRETARY | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT, MANAGER, CEO, PRESIDENT | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| VAYS, TAMAS | I | ASSISTANT SECRETARY | NA | |
| VAYS, TAMAS | I | ASSISTANT SECRETARY | NA | |
| VAYS, TAMAS | I | ASSISTANT SECRETARY | NA | |
| VAYS, TAMAS | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Vays, Tamas | I | ASSISTANT SECRETARY | NA | |
| ARETEC | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GC TWO HOLDINGS, INC | DE | GC TWO INTERMEDIATE HOLDINGS, INC | F | Control |
| GC TWO HOLDINGS, INC | DE | GC TWO INTERMEDIATE HOLDINGS, INC | F | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC | DE | ARETEC GROUP, INC | F | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC | DE | ARETEC GROUP, INC | F | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC | DE | CETERA FINANCIAL HOLDINGS, LLC | E | Control |
| CETERA FINANCIAL GROUP, INC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL GROUP, INC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, LLC | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, LLC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| GC THREE HOLDINGS, LLC | DE | GC TWO HOLDINGS, INC | E | Control |
| GC THREE HOLDINGS, LLC | DE | GC TWO HOLDINGS, INC | E | Control |
Registrations
Federal
IA
Nov 4, 2025 REGISTERED
Notice Filings (52)
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