Form D · Investing

CETERA FINANCIAL SPECIALISTS LLC

Schaumburg, IL · CIK 0000700380

Offering snapshot reported May 16, 2024 · SEC filing

Reported sold
$8.35M
Indefinite offering
Investors reported
37
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 8, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.18M$8.35MJan 22, 2014: $549,530.00Jan 22, 2014Jan 16, 2015: $1,339,067.00Apr 18, 2016: $1,959,003.00Apr 27, 2017: $2,774,859.00May 7, 2018: $3,550,886.00May 6, 2019: $3,331,300.00May 12, 2020: $4,872,938.00May 19, 2021: $6,164,732.00Apr 29, 2022: $7,094,082.00Apr 28, 2023: $6,888,969.00May 16, 2024: $8,350,559.00May 16, 2024

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$6,888,969 → $8,350,559
  • Reported investors35 → 37

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 16, 2024Amendment$8,350,559$1,461,590vs Apr 28, 202337SEC filing
Apr 28, 2023Amendment$6,888,969-$205,113vs Apr 29, 202235SEC filing
Apr 29, 2022Amendment$7,094,082$929,350vs May 19, 202125SEC filing
May 19, 2021Amendment$6,164,732$5,615,202vs Jan 22, 201426SEC filing
May 12, 2020Amendment$4,872,938$4,323,408vs Jan 22, 201425SEC filing
May 6, 2019Amendment$3,331,300-$219,586vs May 7, 20180SEC filing
May 7, 2018Amendment$3,550,886$776,027vs Apr 27, 201722SEC filing
Apr 27, 2017Amendment$2,774,859$815,856vs Apr 18, 201621SEC filing
Apr 18, 2016Amendment$1,959,003$1,409,473vs Jan 22, 201419SEC filing
Jan 16, 2015Amendment$1,339,067$789,537vs Jan 22, 201419SEC filing
Jan 22, 2014Initial$549,530No comparison15SEC filing

Offering details

Securities
Other
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-210494
Deferred compensation obligations

Source: Form D, filed May 16, 2024. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Adam Antoniades Director
David Ballard Executive
Elayne G. Banks Executive
Catherine Bonneau Director
Valerie Brown Director, Executive
Jeffrey Buchheister Executive
Gary Chaffin Executive
Steve Dunlap Director, Executive
Jon Frojen Director, Executive
Andy Gill Executive
Anthony Gill Executive
Lisa Gok Executive
Brian Haley Executive
Kristy Haley Executive
Cyndi Hamel Executive
Brett Harrison Director
Janani Iyengar Executive
Barbara Kesterson Executive
David Kim Executive
Nichole Kircher Executive
Ronald G. Krueger Director, Executive
Winnie Lee Executive
Maura Mizuguchi Executive
Joseph D. Neary Director, Executive
Greg Olson Executive
Larry Roth Director
Jon H. Rothenberg Executive
Gregg Ruvoli Director, Executive
Mark Shelson Executive
Stanley R. Smiley Executive
Stan Smiley Executive
Tim Stinson Executive
Thomas B. Taylor Director
David Van Havermaat Executive
Enrique Vasquez Director, Executive

Issuer details

Industry: Investing (See others in industry)

Address:
1450 American Lane 6 Th Floor, Suite #650
Schaumburg, IL, 60173