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Data / Form D filings / Cetera Advisors LLC /CO

Cetera Advisors LLC /CO: Form D filings

Cetera Advisors LLC /CO, an investing company in Greenwood Village, CO, filed 18 Form D notices with the SEC between 2010 and 2024. The latest, on May 24, 2024, reports $35.3 million sold of an offering with no set size to 117 investors.

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Company details from the filing

Address
5299 DTC BOULEVARD, SUITE 800, Greenwood Village, CO, 80111
Phone
(800) 929-3485
Industry
Investing
Entity type
Limited Liability Company
Incorporated in
Delaware
Revenue range
Decline to Disclose
Exemptions claimed
Rule 506(b)
SEC identifier (CIK)
1164252

Form D filings

FiledTypeOfferingSoldRemainingInvestorsFirst saleFiling
May 24, 2024AmendmentIndefinite$35,310,183117Jan 1, 2009sec.gov
Apr 27, 2023AmendmentIndefinite$28,412,14093Jan 1, 2009sec.gov
Apr 27, 2023AmendmentIndefinite$28,412,14093Jan 1, 2009sec.gov
Apr 29, 2022AmendmentIndefinite$32,172,93484Jan 1, 2009sec.gov
May 26, 2021AmendmentIndefinite$26,743,65572Jan 1, 2009sec.gov
May 26, 2021AmendmentIndefinite$26,743,65572Jan 1, 2009sec.gov
May 19, 2021AmendmentIndefinite$26,743,65572Jan 1, 2009sec.gov
May 12, 2020AmendmentIndefinite$23,872,68176Jan 1, 2009sec.gov
May 6, 2019AmendmentIndefinite$18,932,16677Jan 1, 2009sec.gov
May 7, 2018AmendmentIndefinite$21,439,32579Jan 1, 2009sec.gov
Apr 27, 2017AmendmentIndefinite$18,262,51772Jan 1, 2009sec.gov
Apr 18, 2016AmendmentIndefinite$16,772,87268Jan 1, 2009sec.gov
Jan 16, 2015AmendmentIndefinite$16,490,24364Jan 1, 2009sec.gov
Jan 16, 2014AmendmentIndefinite$16,152,97863Jan 1, 2009sec.gov
Jan 14, 2013AmendmentIndefinite$1,429,66936Jan 1, 2013sec.gov
Jan 12, 2012AmendmentIndefinite$1,421,78338Jan 1, 2012sec.gov
Jan 13, 2011AmendmentIndefinite$1,055,15032Jan 1, 2011sec.gov
Jan 13, 2010AmendmentIndefinite$758,31532Jan 1, 2010sec.gov

Executive officers and directors named in the filing

NameRoleNote in the filing
Dan R. UmanskyExecutive Officer
Summer R. ArnoldExecutive Officer
Thomas B. HalloranExecutive Officer, Director
Gary R. ChaffinExecutive Officer
Kristy R. HaleyExecutive Officer
Winnie B. LeeExecutive Officer
Tim R. StinsonExecutive Officer
Melissa R. LischinExecutive Officer
Lisa R. GokExecutive Officer
Stanley R. SmileyExecutive Officer
Garrett R. MerrillExecutive Officer
David R. Van HavermaatExecutive Officer
Barbara R. KestersonExecutive Officer
Joseph D. NearyExecutive Officer, Director
Thomas B. TaylorDirector
Jeffrey D. BuchheisterExecutive Officer
Elisa R. Del ValleExecutive Officer
Maura R. MizuguchiExecutive Officer

Other investing companies in Colorado that filed recently

Every Form D from the week of May 20, 2024 · All recent filings in Colorado · All recent Investing filings

Read from SEC EDGAR. Amount sold is what Cetera Advisors LLC /CO reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under CC BY 4.0.