CETERA FINANCIAL GROUP Inc. is a District of Columbia corporation, registered on October 29, 2009. The company is currently listed as active on the District of Columbia register, is registered under company number C0000001211 and carries EIN 300588666. Its officers and directors on record include CHAFFIN, GARY, GOK, LISA, Buchheister, Jeffrey, among 7 on file. Its E-Verify enrollment reports a workforce of 1,000 to 2,499 employees, hiring at 1 site in California. Public records for the company include 1 SoS registration, 9 H-1B filings, 1 E-Verify record and 16 Form 5500 filings. Every fact here is republished from an official public register and traces back to a primary source document.
| Legal entity name | CETERA FINANCIAL GROUP Inc. |
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| Registration state | District of Columbia |
| Status | Active |
| Formed in | Delaware (foreign registration) |
| Home company | CETERA FINANCIAL GROUP, INC. |
| Registered | 29 October 2009 (almost 17 years ago) |
| Officers & directors | CHAFFIN, GARY, officerGOK, LISA, officerBuchheister, Jeffrey, officerGOOLEY, THOMAS, officerSHORES, KEITH, officer |
| Entity type | Corporation |
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| Standing | compliant |
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| Company number | C0000001211 |
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| EIN | 300588666 |
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| LEI | IE8KXK6BLZIEBNOD9U51 |
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| Employees (modeled) | ≈3,370 employees2025 |
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| Workforce size | 1,000 to 2,499 employees · updated 24 September 2024 |
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| Hiring sites | 1 site in California |
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| H-1B filings | 9 LCA filings, FY 2017–2025 |
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| Registered agent | CORPORATION SERVICE COMPANY |
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| Source registry | DC Department of Licensing and Consumer Protection · updated 12 November 2025 |
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| Public records | 1 SoS registration |
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| Est. revenue (modeled) | $3B2025 |
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| State | Business name | Filed | Registered agent | Officers | Status | |
|---|---|---|---|---|---|---|
| District of ColumbiaTHIS | CETERA FINANCIAL GROUP Inc. | 2009-10-29 | CORPORATION SERVICE COMPANY | CHAFFIN, GARYOfficerGOK, LISAOfficer4 more | Active | |
Filing ID C0000001211 Jurisdiction Foreign · CorporationFormed in Delaware Principal address — Registered agent CORPORATION SERVICE COMPANY1156 15th St NW, Suite 605, Washington, District of Columbia, 20005 Officers CHAFFIN, GARYOfficer GOK, LISAOfficer Buchheister, JeffreyOfficer GOOLEY, THOMASOfficer SHORES, KEITHOfficer ANTONIADES, ADAMOfficer | ||||||
| Alaska | Cetera Financial Group, Inc. | 2011-11-21 | Corporation Service Company | Adam N AntoniadesDirector, PresidentLisa GokSecretary4 more | Active | |
| Alabama | CETERA FINANCIAL GROUP, INC. | 2011-12-16 | CORPORATION SERVICE COMPANY INC | GOOLEY, THOMASDirector | Active | |
| Arkansas | CETERA FINANCIAL GROUP, INC. | 2011-05-20 | CORPORATION SERVICE COMPANY | SERGE BUDEVICHOfficerLISA GOKOfficer3 more | Active | |
| Arizona | CETERA FINANCIAL GROUP, INC. | 2011-10-05 | Corporation Service Company | THOMAS A GOOLEYDirectorGary L. ChaffinOfficer5 more | Active | |
| California | CETERA FINANCIAL GROUP, INC. | 2009-11-24 | CORPORATION SERVICE COMPANY | Micahel DurbinOfficerDAVID VAN HAVERMAATOfficer6 more | Active | |
| Colorado | CETERA FINANCIAL GROUP, INC. | 2009-11-25 | CORPORATION SERVICE COMPANY | — | Active | |
| Connecticut | CETERA FINANCIAL GROUP, INC. | 2011-07-15 | CORPORATION SERVICE COMPANY | DAVID VAN HAVERMAATOfficerGARY CHAFFINOfficer10 more | Active | |
| District of Columbia | CETERA FINANCIAL GROUP Inc. | 2011-05-20 | CORPORATION SERVICE COMPANY | — | Active | |
| Delaware | CETERA FINANCIAL GROUP, INC. | 2009-10-29 | CORPORATION SERVICE COMPANY | — | Unknown | |
| Florida | CETERA FINANCIAL GROUP, INC. | 2011-05-19 | CORPORATION SERVICE COMPANY | JEFFREY R BUCHHEISTERDirectorSerge BudevichMember10 more | Active | |
| Georgia | CETERA FINANCIAL GROUP, INC. | 2011-05-19 | Corporation Service Company | Lisa GokOfficerMicahel DurbinOfficer1 more | Active | |
| Hawaii | CETERA FINANCIAL GROUP, INC. | 2011-05-19 | CORPORATION SERVICE COMPANY | DURBIN,MICHAELDirector, OfficerBUCHHEISTER,JEFFDirector, Officer4 more | Active | |
| Iowa | CETERA FINANCIAL GROUP, INC. | 2009-12-01 | CORPORATION SERVICE COMPANY | THOMAS A. GOOLEYDirectorJEFFERY BUCHHEISTERDirector3 more | Active | |
| Idaho | CETERA FINANCIAL GROUP, INC. | 2011-05-19 | C T CORPORATION SYSTEM | Joseph D. NearyDirectorLisa GokOfficer6 more | Active | |
| Illinois | CETERA FINANCIAL GROUP, INC. | 2011-10-04 | ILLINOIS CORPORATION SERVICE COMPANY | — | Inactive | |
| Indiana | CETERA FINANCIAL GROUP, INC. | 2011-10-04 | CORPORATION SERVICE COMPANY | — | Active | |
| Kansas | CETERA FINANCIAL GROUP, INC. | 2011-10-27 | CORPORATION SERVICE COMPANY | — | Active | |
| Kentucky | CETERA FINANCIAL GROUP, INC. | 2011-10-05 | Corporation Service Company | Keith ShoresOfficerLisa GokOfficer3 more | Active | |
| Louisiana | CETERA FINANCIAL GROUP, INC. | 2011-10-05 | CORPORATION SERVICE COMPANY | Keith ShoresOfficerMicahel DurbinOfficer, Director3 more | Active | |
| Massachusetts | CETERA FINANCIAL GROUP, INC. | 2011-06-08 | CORPORATION SERVICE COMPANY | JEFFERY R. BUCHHEISTERDirectorTHOMAS A. GOOLEYDirector4 more | Active | |
| Maryland | CETERA FINANCIAL GROUP, INC | 2011-06-08 | CSC-LAWYERS INCORPORATION SERVICE COMPANY | — | Active | |
| Maine | CETERA FINANCIAL GROUP, INC. | 2011-06-07 | CORPORATION SERVICE COMPANY | — | Active | |
| Michigan | CETERA FINANCIAL GROUP, INC. | 2011-06-08 | CSC-LAWYERS INCORPORATING SERVICE (COMPANY) | — | Active | |
| Minnesota | CETERA FINANCIAL GROUP, INC. | 2009-12-01 | Corporation Service Company | Micahel DurbinOfficer | Active | |
| Missouri | CETERA FINANCIAL GROUP, INC. | 2011-06-08 | CSC-LAWYERS INCORPORATING SERVICE COMPANY | Todd MackayOfficerTom VaysOfficer19 more | Active | |
| Mississippi | Cetera Financial Group, Inc. | 2011-12-19 | CORPORATION SERVICE COMPANY | LISA GOKOfficerDAVID VAN HAVERMAATOfficer4 more | Active | |
| Montana | CETERA FINANCIAL GROUP, INC. | 2011-12-05 | CORPORATION SERVICE COMPANY | Joseph D. NearyDirectorMicahel DurbinDirector, Officer3 more | Active | |
| North Carolina | Cetera Financial Group, Inc. | 2011-09-12 | CSC - Delaware | Shores, KeithOfficerDurbin, MicahelOfficer2 more | Active | |
| North Dakota | CETERA FINANCIAL GROUP, INC. | 2012-01-05 | CORPORATION SERVICE COMPANY | — | Active | |
| Nebraska | CETERA FINANCIAL GROUP, INC. | 2011-10-11 | CSC-LAWYERS INCORPORATING SERVICE COMPANY | LISA GOKOfficerDONALD B MARRONDirector23 more | Active | |
| New Hampshire | Cetera Financial Group, Inc. | 2011-10-12 | CORPORATION SERVICE COMPANY | Jeffrey R. BuchheisterDirectorMichael DurbinOfficer, Director3 more | Active | |
| New Mexico | CETERA FINANCIAL GROUP, INC. | 2011-11-18 | CORPORATION SERVICE COMPANY | ADAM ANTONIADESDirector, OfficerGARY CHAFFINOfficer15 more | Active | |
| Nevada | CETERA FINANCIAL GROUP, INC. | 2012-03-15 | CORPORATION SERVICE COMPANY* | KEITH SHORESOfficerMICHAEL DURBINOfficer, Director3 more | Active | |
| New York | CETERA FINANCIAL GROUP, INC. | 2011-12-28 | CORPORATION SERVICE COMPANY | ADAM ANTONIADESOfficer | Active | |
| Ohio | CETERA FINANCIAL GROUP, INC. | 2011-10-04 | CORPORATION SERVICE COMPANY | — | Active | |
| Oklahoma | CETERA FINANCIAL GROUP, INC. | 2011-10-28 | CORPORATION SERVICE COMPANY | — | Inactive | |
| Oregon | CETERA FINANCIAL GROUP, INC. | 2011-11-02 | CORPORATION SERVICE COMPANY | LISA GOKOfficerMICAHEL DURBINOfficer | Active | |
| Pennsylvania | CETERA FINANCIAL GROUP, INC. | 2011-09-12 | — | Jeffrey R. BuchheisterDirectorKeith ShoresOfficer3 more | Active | |
| Rhode Island | CETERA FINANCIAL GROUP, INC. | 2011-11-18 | CORPORATION SERVICE COMPANY | MICAHEL DURBINDirector, OfficerKEITH SHORESOfficer3 more | Active | |
| South Carolina | CETERA FINANCIAL GROUP, INC. | 2011-10-10 | CORPORATION SERVICE COMPANY | — | Active | |
| South Dakota | CETERA FINANCIAL GROUP, INC. | 2011-10-11 | CORPORATION SERVICE COMPANY | — | Active | |
| Tennessee | CETERA FINANCIAL GROUP, INC. | 2011-09-14 | CORPORATION SERVICE COMPANY | — | Active | |
| Texas | CETERA FINANCIAL GROUP, INC. | 2011-10-04 | Corporation Service Company d/b/a CSC-Lawyers Incorporating Service Company | THOMAS B TAYLOROfficerMAURA R MIZUGUCHIOfficer17 more | Active | |
| Utah | CETERA FINANCIAL GROUP, INC. | 2011-10-28 | CORPORATION SERVICE COMPANY | Micahel DurbinOfficer, DirectorJEFFERY BUCHHEISTERDirector, Officer8 more | Active | |
| Virginia | Cetera Financial Group, Inc. | 2011-09-14 | CORPORATION SERVICE COMPANY | Michael DurbinOfficerJeffrey R. BuchheisterOfficer3 more | Active | |
| Vermont | CETERA FINANCIAL GROUP, INC. | 2011-10-11 | CORPORATION SERVICE COMPANY | MICAHEL DURBINOfficer, DirectorKEITH SHORESOfficer3 more | Active | |
| Washington | CETERA FINANCIAL GROUP, INC. | 2011-09-14 | CORPORATION SERVICE COMPANY | THOMAS GOOLEYDirectorLISA GOKDirector3 more | Active | |
| Wisconsin | CETERA FINANCIAL GROUP, INC. | 2011-12-05 | CORPORATION SERVICE COMPANY | — | Active | |
| West Virginia | CETERA FINANCIAL GROUP, INC. | 2011-09-09 | CORPORATION SERVICE COMPANY | MICHAEL DURBINDirectorJEFFERY R. BUCHHEISTERDirector3 more | Active | |
| Wyoming | CETERA FINANCIAL GROUP, INC. | 2011-10-13 | Corporation Service Company | — | Active | |
Companies and people linked to CETERA FINANCIAL GROUP Inc. in the state registers through shared officers, a shared registered agent, shared filing contacts or a shared address. Service companies file for many unrelated businesses — a shared agent, address or contact alone does not prove affiliation.
company person group former role
Browse the indexed registries by state, or look up any debtor name free, at UCC lien search.
| Case | Filed | Job title | Wage | Worksite | Status | |
|---|---|---|---|---|---|---|
| I-200-25245-280749 | 2025-09-02 | Principal Software Engineer -Salesforce | $180,000/yr | Coppell | Certified | |
| I-200-25204-195115 | 2025-07-23 | Supervisor, Software Engineer | $157,123/yr | El Segundo | Certified | |
| I-200-23255-340459 | 2023-09-12 | Principal Network Engineer | $162,739/yr | Pittsburgh | Certified | |
| I-200-22201-365024 | 2022-07-20 | Application Development Supervisor | $139,000/yr | El Segundo | Certified | |
| I-200-19144-190532 | 2019-06-10 | SENIOR .NET WEB DEVELOPER | $128,000/yr | El Segundo | CERTIFIED | |
| I-200-18075-133249 | 2018-03-19 | ASSISTANT TREASURER | $110,490/yr | SAN DIEGO | CERTIFIED | |
| I-200-18054-933902 | 2018-02-26 | IT TECHNICAL LEAD | $107,390/yr | EL SEGUNDO | CERTIFIED | |
| I-200-16349-266236 | 2017-01-03 | IT TECHNICAL LEAD | $97,365/yr | EL SEGUNDO | CERTIFIED | |
| I-200-16281-803924 | 2016-10-07 | SENIOR .NET WEB DEVELOPER | $111,000/yr | EL SEGUNDO | CERTIFIED | |
| State | Workforce | Hiring sites | Enrolled | Industry | Status | |
|---|---|---|---|---|---|---|
| California | 1,000 to 2,499 | 1 | 4/25/2019 | FINANCE AND INSURANCE (52) | Open | |
Employee-benefit plan filings by CETERA FINANCIAL GROUP Inc. with the Department of Labor. Employee and revenue figures are modeled estimates derived from retirement-plan participant counts and industry ratios — not official headcount or reported revenue.
| Employees (modeled) | ≈3,370 · plan year 2025 |
|---|---|
| Est. annual revenue (modeled) | $3B |
| Retirement plan assets | $471.3M |
| Benefit plans | 401(k) plan on file |
| Filing history | 16 plan years filed, 2010–2025 |
| Sponsor EIN | 30-0588666 |
| Plan year | Employees (est.) | Participants | Plan assets | Revenue (est.) | 401(k) | |
|---|---|---|---|---|---|---|
| 2025 | ≈3,370 | 3,832 (3,035 active) | $471.3M | $3B | 401(k) | |
| 2024 | ≈3,410 | 2,533 (3,070 active) | $386.6M | $2.6B | 401(k) | |
| 2023 | ≈2,330 | 2,287 (2,096 active) | $229.5M | $1.9B | 401(k) | |
| 2022 | ≈2,040 | 2,159 (1,835 active) | $174.5M | $1.6B | 401(k) | |
| 2021 | ≈1,930 | 1,933 (1,735 active) | $199.6M | $1.5B | 401(k) | |
| 2020 | ≈1,720 | 2,128 (1,546 active) | $169.8M | $1.4B | 401(k) | |
| 2019 | ≈1,890 | 1,692 (1,703 active) | $143.9M | $1.4B | 401(k) | |
| 2018 | ≈1,470 | 1,622 (1,325 active) | $105.5M | $1.1B | 401(k) | |
| 2017 | ≈1,450 | 1,815 (1,301 active) | $104.7M | $1.1B | 401(k) | |
| 2016 | ≈1,560 | 1,622 (1,403 active) | $90M | $1.2B | 401(k) | |
Matched Form 5500 filing records:
| Plan | Plan year | Participants | EIN | |
|---|---|---|---|---|
| CETERA FINANCIAL GROUP INC 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP INC. 401K SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP, INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP, INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP, INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP INC. 401(K) SAVINGS PLAN | — | — | — | |
| CETERA FINANCIAL GROUP, INC. 401(K) SAVINGS PLAN | — | — | — | |
Federal court records load when you reach this section.
Companies adjacent to CETERA FINANCIAL GROUP Inc. in the District of Columbia Secretary of State register, in alphabetical order.
Netstate aggregates public records from federal, state and municipal sources; records are matched to this company by its registered legal names. Latest source snapshot 2026-04-20. Document getpalm-companies/4316-0076-9653.