Fundraising FoxCetera
Denver, US · 3 known investors
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Cetera is a financial services organization that supports employee charitable giving by offering paid volunteer time off and contributing to youth-focused causes. The company's home offices back organizations such as United Way of Greater Atlanta, the Hillcrest Youth Center of San Diego, and EnrichLA.
Founders & leadership
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Greg OlsonDeputy General Counsel2012–2021Greg Olson leads the investment adviser and broker-dealer practice group within Cetera's legal department, with expertise in wealth management, investment adviser regulation, broker-dealer regulation, and mergers and acquisitions.
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Erinn FordExecutiveErinn Ford holds a bachelor's degree in speech communications and holds FINRA Series 7, 24, 63, and 65 securities registrations. She has spent more than 30 years in the wealth management industry and serves as Executive Vice President of Advisor Engagement at Osaic, where she develops engagement and service solutions for financial professionals.
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Stan SmileyExecutive
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Bernie BretonExecutiveBernie Breton is an executive officer at Cetera, which provides support and affiliation services for financial professionals and institutions in the wealth management and financial services industry.
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Larry RothCEO2014–2016Larry Roth is an executive officer at Cetera, which provides support and affiliation services for financial advisors and institutions in the wealth management sector.
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Cyndi HamelExecutive
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Mark ShelsonExecutive
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Steve DunlapEVP, Wealth Management2013–2015Steve Dunlap is an executive with experience leading SaaS fintech companies and managing growth-stage and large enterprises. He has domain expertise in wealth management, financial advice delivery, and digital business models, and previously worked in the financial services and asset management sectors.
Investors · 3
Reported raises · per SEC filings
Form D private placements$80.2M disclosed across 3 rounds · 2009
▶$35.3MraisedMay 2024 · 117 investors · InvestingRule 506(b)
▶$35.3MraisedMay 2024 · 117 investors · Investing
Rule 506(b)Officers, directors & promoters on the filing
- Dan UmanskyExecutive Officer
- Summer ArnoldExecutive Officer
- Thomas HalloranExecutive Officer, Director
- Gary ChaffinExecutive Officer
- Kristy HaleyExecutive Officer
- Winnie LeeExecutive Officer
- Tim StinsonExecutive Officer
- Melissa LischinExecutive Officer
- Lisa GokExecutive Officer
- Stanley SmileyExecutive Officer
- Garrett MerrillExecutive Officer
- David Van HavermaatExecutive Officer
- Barbara KestersonExecutive Officer
- Joseph D. NearyExecutive Officer, Director
- Thomas B. TaylorDirector
- Jeffrey BuchheisterExecutive Officer
- Elisa Del ValleExecutive Officer
- Maura R. MizuguchiExecutive Officer
- Amount sold
- $35.3M
- First sale
- Jan 2009
- Incorporated
- Limited Liability Company, Delaware
- Federal exemptions
- 06b
▶$28.4MraisedApr 2023 · 93 investors · InvestingRule 506(b)
▶$28.4MraisedApr 2023 · 93 investors · Investing
Rule 506(b)Officers, directors & promoters on the filing
- Thomas B. TaylorDirector
- Kristy HaleyExecutive Officer
- Barbara KestersonExecutive Officer
- Maura R. MizuguchiExecutive Officer
- Tim StinsonExecutive Officer
- Kathleen D. Van Noy-PinedaExecutive Officer
- Elisa Del ValleExecutive Officer
- Jeffrey BuchheisterExecutive Officer
- Summer ArnoldExecutive Officer
- Garrett MerrillExecutive Officer
- Melissa LischinExecutive Officer
- Dan UmanskyExecutive Officer
- Gary ChaffinExecutive Officer
- Stanley R. SmileyExecutive Officer
- David Van HavermaatExecutive Officer
- Brett HarrisonExecutive Officer, Director
- Lisa GokExecutive Officer
- Joseph D. NearyExecutive Officer, Director
- Amount sold
- $28.4M
- First sale
- Jan 2009
- Incorporated
- Limited Liability Company, District Of Columbia
- Federal exemptions
- 06b
▶$16.5MraisedJan 2015 · 64 investors · InvestingRule 506(b)
▶$16.5MraisedJan 2015 · 64 investors · Investing
Rule 506(b)Officers, directors & promoters on the filing
- Greg OlsonExecutive Officer
- Erinn FordExecutive Officer
- Stan SmileyExecutive Officer
- Bernie BretonExecutive Officer
- Lisa GokExecutive Officer
- Larry RothExecutive Officer
- Cyndi HamelExecutive Officer
- Mark ShelsonExecutive Officer
- Steve DunlapExecutive Officer, Director
- Brett HarrisonExecutive Officer, Director
- Amount sold
- $16.5M
- First sale
- Jan 2009
- Incorporated
- Corporation, Colorado
- Federal exemptions
- 06b
Source: SEC EDGAR Form D. Amounts as filed; amended filings shown once at their latest values.
Related companies · 2
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In the news
Frequently asked questions
- What does Cetera do?
- Cetera is a financial services organization that supports employee charitable giving by offering paid volunteer time off and contributing to youth-focused causes. The company's home offices back organizations such as United Way of Greater Atlanta, the Hillcrest Youth Center of San Diego, and EnrichLA.
- Who are Cetera's investors?
- Cetera's investors include Genstar, Lightyear, Genstar Capital.
- How much funding has Cetera raised?
- Cetera has disclosed $80.2M raised across 3 rounds.
- Where is Cetera headquartered?
- Cetera is headquartered in Denver, US.