Cetera Investment Services LLC

Broker-DealerFINRA MemberEst. 1984
Total AUM
—
Advisory reps
2,904
Avg account
$0

Firm details

Headquarters
Saint Cloud, Minnesota
CRD number
15340
Registered since
July 23, 1984
Website
cetera.com

Firm profile

FINTRX

Overview

Cetera Investment Services LLC is a limited liability company that has been registered with the SEC since 1984 and operates as an independent broker‑dealer. FINTRX classifies ownership as domestic entities and individual stakeholders. The firm is not identified as a capital allocator and is not listed as a multi‑state or newly formed adviser; it also is not characterized as a pension consultant or a related adviser in the available snapshot. The profile indicates the firm is not an active ESG investor.

Assets & Accounts

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 32
  • Matthew Bregozzo

    Matthew Bregozzo

    Chief Compliance OfficerCRD 5881295

  • David Tuyo

    David Tuyo

    President, CEOCRD 4371854

  • Kristy Haley

    Kristy Haley

    Chief Compliance OfficerCRD 4022155

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Contacts

3 of 2872
  • Jennifer Mierendorf

    Jennifer Mierendorf

    Assistant Vice PresidentCRD 5640997

  • Elena Cumberbatch-lynch

    Elena Cumberbatch-lynch

    Registered RepresentativeCRD 5641116

  • Daniel Fleming

    Daniel Fleming

    Financial AdvisorCRD 5641490

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Saint Cloud, MN

Stearns

Location

Saint Cloud, MN

Headquartered in Saint Cloud, MN, anchoring the Minneapolis-St. Paul, MN-WI metro in the Midwest.

Metro area
Minneapolis-St. Paul, MN-WI
Region
Midwest
County
Stearns
Address
400 1st St S
Time zone
CT (UTC-6)
Office locations

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