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Cetera Investment Management LLC

Active El Segundo, CA

Cetera Investment Management LLC Overview

Cetera Investment Management LLC filed as a Foreign in the State of California on Wednesday, January 2, 2013 and is approximately thirteen years old, according to public records filed with California Secretary of State. A corporate filing is called a foreign filing when an existing corporate entity files in a state other than the state they originally filed in. This does not necessarily mean that they are from outside the United States.

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Name
Thomas B. Taylor 25 ~ Background Report ~	President Manager Director Member
Joseph D. Neary 18 ~ Background Report ~	Manager Director Member V.P.
Jeffrey L. Buchheister 9 ~ Background Report ~	CFO
Thomas A. Gooley 12 ~ Background Report ~	Manager Director
Adam Antoniades 32 ~ Background Report ~	Manager Member
Keith Shores 12 ~ Background Report ~	Treasurer
Lisa A. Gok 16 ~ Background Report ~	Secretary Assistant Secretary
Gene Goldman ~ Background Report ~	Officer President Co-Chief Investment
Stanley R. Smiley 30 ~ Background Report ~	V.P. Vice President
Gary Chaffin 21 ~ Background Report ~	Officer
Janani Iyengar 9 ~ Background Report ~	ATreasurer
Maura R. Mizuguchi 8 ~ Background Report ~	Officer
David Van Havermaat 8 ~ Background Report ~	ASecretary
Jose Rodriguez ~ Background Report ~	Officer
Craig Columbus 1 ~ Background Report ~	President
Nina S. McKenna 15 ~ Background Report ~	Manager
Enrique M. Vasquez 11 ~ Background Report ~	Manager Member Governing Person
Barnaby Grist 9 ~ Background Report ~	Manager Member Governing Person
Steven J. Dunlap 8 ~ Background Report ~	Manager Member Chief Executive Officer
Bradley Scher 8 ~ Background Report ~	Manager
Mason Allen 7 ~ Background Report ~	Manager
Douglas S. King 4 ~ Background Report ~	Manager Member
Cynthia Hamel 2 ~ Background Report ~	Manager Governing Person
Mark P. Shelson 43 ~ Background Report ~	Treasurer Chief Financial Officer
Greg A. Olson 32 ~ Background Report ~	Treasurer Secretary Assistant Secretary
Van Havermaat David 10 ~ Background Report ~	Treasurer Secretary
Lon Gerber ~ Background Report ~	Chief Operating Officer
Steve Wastek ~ Background Report ~	Assistant Secretary
Jeff Mindlein ~ Background Report ~	Co-Chief Investment

Showing 8 records out of 29

California Secretary of State

Filing Type:	Foreign
Status:	Active
State:	California
Foreign State:	Delaware
State ID:	201303310096
Date Filed:	Wednesday, January 2, 2013

Florida Department of State

Filing Type:	Foreign Limited Liability
Status:	Active
State:	Florida
State ID:	M13000002358
Date Filed:	Monday, April 15, 2013

Texas Secretary of State

Filing Type:	Foreign Limited Liability Company (LLC)
Status:	Active In existence
State:	Texas
State ID:	801784921
Date Filed:	Wednesday, May 15, 2013

Nevada Secretary of State

Filing Type:	Foreign Limited-Liability Company
Status:	Active
State:	Nevada
Foreign State:	Delaware
State ID:	E0187902013-1
Date Filed:	Monday, April 15, 2013
Registered Agent	The Corporation Trust Company of Nevada

Corporate Notes

Source	Date	Type	Note
	4/15/2013	Application for Foreign Registration
	5/15/2013	Application for Registration
	6/21/2013	Initial List
	12/2/2013	Change of Name or Address by Registered Agent
	3/3/2014	Annual List
	12/31/2014	Public Information Report (PIR)
	3/24/2015	Annual List
	6/8/2015	Amendment
	6/10/2015	Application for Amended Registration
	12/31/2015	Public Information Report (PIR)
	4/20/2016	Annual List
	12/31/2016	Public Information Report (PIR)
	4/20/2017	Annual List
	10/10/2017	Amendment
	10/12/2017	Application for Amended Registration
	4/18/2018	Annual List
	10/22/2018	Change of Registered Agent/Office
	11/8/2018	Registered Agent Change
	12/31/2018	Public Information Report (PIR)
	4/16/2019	Annual List
	12/31/2019	Public Information Report (PIR)
	3/16/2022	Application for Amended Registration

Sources

California Secretary of State
Data last refreshed on Monday, April 4, 2022

Texas Secretary of State
Data last refreshed on Saturday, March 2, 2024

Florida Department of State
Data last refreshed on Monday, April 6, 2026

Nevada Secretary of State
Data last refreshed on Wednesday, May 8, 2019

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Cetera Investment Management LLC

Active El Segundo, CA