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PENN WARREN RETTIG II
PENN WARREN RETTIG
CRD#: 1274789
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 66 CLUB RD
SUITE #200
EUGENE, OR 97401
SUITE #200
EUGENE, OR 97401
CETERA ADVISORS LLCCRD#: 10299 66 CLUB RD
SUITE #200
EUGENE, OR 97401
SUITE #200
EUGENE, OR 97401
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Arizona 7/21/2023
B
Oregon 12/8/2003
B
California 12/8/2003
IA
Oregon 3/21/2024
B
Illinois 10/7/2016
B
Wisconsin 9/29/2023
B
Indiana 12/18/2014
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 12/8/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/08/2003 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 06/27/2002 - 12/09/2003 | EUGENE, OR | |
B | 01/02/1990 - 12/09/2003 | EL SEGUNDO, CA | |
B | 11/19/1989 - 01/18/1990 | SCOTTSDALE, AZ | |
B | 05/03/1988 - 11/19/1989 | ||
B | 06/20/1984 - 05/20/1988 | ||
B | 06/20/1984 - 12/24/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.