| Entity Name: | CETERA INVESTMENT MANAGEMENT LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Foreign |
| Status: | Active |
| Sub status: | Annual report due |
| Date Formed: | 16 Apr 2013 |
| Business ALEI: | 1103126 |
| Annual report due: | 31 Mar 2025 |
| NAICS code: | 523999 - Miscellaneous Financial Investment Activities |
| Business address: | 2301 Rosecrans Ave, El Segundo, CA, 90245-4967, United States |
| Mailing address: | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, United States, 90245-4967 |
| Mailing jurisdiction address: | 251 LITTLE FALLS DRIVE, WILMINGTON, DE, 19808, United States |
| Place of Formation: | DELAWARE |
| E-Mail: | taxdepartment@cetera.com |
| Name | Role |
|---|---|
| CORPORATION SERVICE COMPANY | Agent |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| THOMAS TAYLOR | Officer | 200 N. Pacific Coast Hwy, Suite 1300, El Segundo, CA, 90245, United States | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States |
| THOMAS GOOLEY | Officer | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States |
| GARY CHAFFIN | Officer | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States |
| JOSEPH NEARY | Officer | 655 W. Broadway, 12th Floor, San Diego, CA, 92101, United States | 2301 Rosecrans Ave, STE 5100, El Segundo, CA, 90245-4967, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | TOWER SQUARE INVESTMENT MANAGEMENT | CETERA INVESTMENT MANAGEMENT LLC | 2017-10-11 |
| Name change | CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT | 2015-06-15 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0012256688 | 2024-03-11 | No data | Annual Report | Annual Report | No data |
| BF-0011308245 | 2023-02-07 | No data | Annual Report | Annual Report | No data |
| BF-0010326072 | 2022-02-02 | No data | Annual Report | Annual Report | 2022 |
| BF-0010469260 | 2022-01-14 | 2022-01-14 | Mass Agent Change � Address | Agent Address Change | No data |
| 0007257702 | 2021-03-24 | No data | Annual Report | Annual Report | 2021 |
| 0006950703 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006943532 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006845136 | 2020-03-23 | No data | Annual Report | Annual Report | 2020 |
| 0006445274 | 2019-03-11 | No data | Annual Report | Annual Report | 2019 |
| 0006275245 | 2018-11-10 | 2018-11-10 | Change of Business Address | Business Address Change | No data |
Date of last update: 25 Nov 2024
Sources: Connecticut's Official State Website
