Data / Form D filings / CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL SPECIALISTS LLC: Form D filings
CETERA FINANCIAL SPECIALISTS LLC, an investing company in Schaumburg, IL, filed 11 Form D notices with the SEC between 2014 and 2024. The latest, on May 16, 2024, reports $8.4 million sold of an offering with no set size to 37 investors.
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Company details from the filing
- Address
- 1450 AMERICAN LANE, 6TH FLOOR, SUITE #650, Schaumburg, IL, 60173
- Phone
- (310) 257-7594
- Industry
- Investing
- Entity type
- Limited Liability Company
- Incorporated in
- Delaware
- Revenue range
- Decline to Disclose
- Exemptions claimed
- Rule 506(b)
- SEC identifier (CIK)
- 700380
Form D filings
| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
|---|---|---|---|---|---|---|---|
| May 16, 2024 | Amendment | Indefinite | $8,350,559 | 37 | Jan 8, 2014 | sec.gov | |
| Apr 28, 2023 | Amendment | Indefinite | $6,888,969 | 35 | Jan 8, 2014 | sec.gov | |
| Apr 29, 2022 | Amendment | Indefinite | $7,094,082 | 25 | Jan 8, 2014 | sec.gov | |
| May 19, 2021 | Amendment | Indefinite | $6,164,732 | 26 | Jan 8, 2014 | sec.gov | |
| May 12, 2020 | Amendment | Indefinite | $4,872,938 | 25 | Jan 8, 2014 | sec.gov | |
| May 6, 2019 | Amendment | Indefinite | $3,331,300 | 0 | Jan 8, 2014 | sec.gov | |
| May 7, 2018 | Amendment | Indefinite | $3,550,886 | 22 | Jan 8, 2014 | sec.gov | |
| Apr 27, 2017 | Amendment | Indefinite | $2,774,859 | 21 | Jan 8, 2014 | sec.gov | |
| Apr 18, 2016 | Amendment | Indefinite | $1,959,003 | 19 | Jan 8, 2014 | sec.gov | |
| Jan 16, 2015 | Amendment | Indefinite | $1,339,067 | 19 | Jan 8, 2014 | sec.gov | |
| Jan 22, 2014 | New notice | Indefinite | $549,530 | 15 | Jan 8, 2014 | sec.gov |
Executive officers and directors named in the filing
| Name | Role | Note in the filing |
|---|---|---|
| Stanley R. Smiley | Executive Officer | |
| Joseph D. Neary | Executive Officer, Director | |
| Nichole R. Kircher | Executive Officer | |
| Gary D. Chaffin | Executive Officer | |
| Tim D. Stinson | Executive Officer | |
| Barbara D. Kesterson | Executive Officer | |
| Jon H. Rothenberg | Executive Officer | |
| Thomas B. Taylor | Director | |
| Maura D. Mizuguchi | Executive Officer | |
| Lisa H. Gok | Executive Officer | |
| Elayne G. Banks | Executive Officer | |
| David H. Van Havermaat | Executive Officer | |
| Winnie B. Lee | Executive Officer | |
| Ronald G. Krueger | Executive Officer, Director | |
| Jeffrey D. Buchheister | Executive Officer |
Other investing companies in Illinois that filed recently
- Lakeside Village HMS Investors I LLC $7 million · Sep 23, 2026
- KR Bond Fund, LLC $11.7 million · Sep 23, 2026
- Vesalius Partners, LLC $1 million · Sep 1, 2026
Every Form D from the week of May 13, 2024 · All recent filings in Illinois · All recent Investing filings
Read from SEC EDGAR. Amount sold is what CETERA FINANCIAL SPECIALISTS LLC 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.