PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:25 AM ET

Sponsor Check › Person

GC
No photo found yet (own website and image search run after this page is viewed)

Gary Chaffin

Named as an officer, director or promoter on SEC Form D filings · CA · May 19, 2021 → May 24, 2024

3deals (issuers)
$106Mreported sold
399investors
18Form D filings
2021–2024years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:49 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Gary Chaffin is listed as an executive officer on 18 SEC Form D filings by 3 issuers between May 2021 and May 2024: Cetera Advisor Networks LLC /CA (El Segundo, CA — investing — 2021–2024; $62.4M reported sold to 245 investors), Cetera Advisors LLC /CO (Greenwood Village, CO — investing — 2021–2024; $35.3M reported sold to 117 investors) and CETERA FINANCIAL SPECIALISTS LLC (Schaumburg, IL — investing — 2021–2024; $8.35M reported sold to 37 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, over about 3 years. Across those companies the filings report $106M sold in total.

Listed alongside Barbara Kesterson (18 shared filings), David Van Havermaat (18 shared filings), Jeffrey Buchheister (18 shared filings), Joseph D. Neary (18 shared filings), Lisa Gok (18 shared filings) and 28 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Gary. Each name links to their own page.

All 3 issuers belong to the sponsor group Cetera (4 issuers, $252M reported sold, 2010–2024).

What this means A sponsor group is one team that sets up a new company for each deal. Cetera has 4 companies on file and $252M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 4 bankruptcy cases matching the name listed in Key records below.

What this means 4 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 18 public filings for Gary Chaffin and found 14 differences, 7 worth asking the sponsor about: Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks, LLC (Oct 24, 2022); Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks LLC (Oct 15, 2019); and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Gary Chaffin has not run yet — it is joining a line of 53,987 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:49 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Gary Chaffin..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

4 cases: 4 closed (disposition not in docket feed)

Gary S Chaffin and Natina T Chaffin closed
United States Bankruptcy Court, N.D. Alabama · No. 17-02591 · Filed Jun 16, 2017 · Closed Apr 19, 2022
Role of Gary S Chaffin and Natina T Chaffin: Debtor · Outcome: Case closed 2022-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)
Gary T. Chaffin and Cristin E. Chaffin closed
United States Bankruptcy Court, N.D. Texas · No. 11-30790 · Filed Jan 31, 2011 · Closed Jul 18, 2011
Role of Gary T. Chaffin and Cristin E. Chaffin: Debtor · Outcome: Case closed 2011-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Gary Chaffin closed
United States Bankruptcy Court, D. Idaho · No. 01-41139 · Filed Jun 13, 2001 · Closed Oct 5, 2001
Role of Gary Chaffin: Debtor · Outcome: Case closed 2001-10-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in ID (not a filing state)
Gary M. Chaffin closed
United States Bankruptcy Court, C.D. California · No. 9:98-bk-10275 · Filed Jan 21, 1998 · Closed May 14, 1998
Role of Gary M. Chaffin: Debtor · Outcome: Case closed 1998-05-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:49 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

14 differences found between the filings for Gary Chaffin — 7 worth asking about (compared 18 filings on Oct 24, 2026)

Worth asking · Oct 24, 2022

Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks, LLC (Oct 24, 2022)

An SEC litigation release dated Oct 24, 2022 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC and Cetera Advisor Networks, LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · Oct 15, 2019

Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks LLC (Oct 15, 2019)

An SEC litigation release dated Oct 15, 2019 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC and Cetera Advisor Networks LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · Aug 29, 2019

Regulator action naming a team member: Cetera Advisors, LLC (Aug 29, 2019)

An SEC litigation release dated Aug 29, 2019 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · Jan 21, 1998 – May 14, 1998

Bankruptcy case: Gary M. Chaffin — filed Jan 21, 1998

United States Bankruptcy Court, C.D. California docket "Gary M. Chaffin" filed Jan 21, 1998, closed May 14, 1998. Gary Chaffin is listed as Debtor ("Gary M. Chaffin"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗
Sources
Note · Mar 9, 2012 – Nov 14, 2017

Bankruptcy case: Christopher D. Kircher and Nichole M. Kircher — filed Mar 9, 2012

United States Bankruptcy Court, D. Minnesota docket "Christopher D. Kircher and Nichole M. Kircher" filed Mar 9, 2012, closed Nov 14, 2017. Nichole Kircher (listed on the same filings) is listed as Debtor ("Nichole M. Kircher"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, D. Minnesota ↗Nichole Kircher — PartnerFacts page ↗
Sources
Note · Jun 9, 2005 – Sep 23, 2005

Bankruptcy case: NICHOLE L KIRCHER — filed Jun 9, 2005

United States Bankruptcy Court, D. Minnesota docket "NICHOLE L KIRCHER" filed Jun 9, 2005, closed Sep 23, 2005. Nichole Kircher (listed on the same filings) is listed as Debtor ("NICHOLE L KIRCHER"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, D. Minnesota ↗Nichole Kircher — PartnerFacts page ↗
Sources
Worth asking · May 12, 2020 – Apr 28, 2023

5 offerings reported less sold on a later filing than an earlier one

Amount sold went down between filings — CETERA FINANCIAL SPECIALISTS LLC · Amount sold went down between filings — Cetera Advisors LLC /CO · Amount sold went down between filings — Cetera Advisor Networks LLC /CA · Amount sold went down between filings — Cetera Advisor Networks LLC /CA · Amount sold went down between filings — Cetera Advisor Networks LLC /CA

What this means Amounts sold normally only go up. Ask the sponsor what happened on each.

Form D/A (earlier) · Apr 29, 2022 ↗Form D/A (later) · Apr 28, 2023 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗Form D/A (earlier) · Apr 29, 2022 ↗
Sources
Worth asking · May 19, 2021 – Apr 29, 2022

Investor count went down between filings — CETERA FINANCIAL SPECIALISTS LLC

The May 19, 2021 filing reports 26 investors; the Apr 29, 2022 Form D/A reports 25 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · May 19, 2021 ↗Form D/A (later) · Apr 29, 2022 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗
Sources
Worth asking · May 12, 2020 – May 19, 2021

Investor count went down between filings — Cetera Advisors LLC /CO

The May 12, 2020 filing reports 76 investors; the May 19, 2021 Form D/A reports 72 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · May 12, 2020 ↗Form D/A (later) · May 19, 2021 ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Note · Jan 1, 2010 – May 24, 2024

No amendment in the last 12 months on an offering that may still be open — Cetera Advisors LLC /CO (latest filing May 24, 2024)

The latest filing for this offering is dated May 24, 2024 (first sale Jan 1, 2010). It reports $35,310,183 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 24, 2024 ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Note · Jan 8, 2014 – May 16, 2024

No amendment in the last 12 months on an offering that may still be open — CETERA FINANCIAL SPECIALISTS LLC (latest filing May 16, 2024)

The latest filing for this offering is dated May 16, 2024 (first sale Jan 8, 2014). It reports $8,350,559 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 16, 2024 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗
Sources
Note · Jan 1, 2010 – May 16, 2024

No amendment in the last 12 months on an offering that may still be open — Cetera Advisor Networks LLC /CA (latest filing May 16, 2024)

The latest filing for this offering is dated May 16, 2024 (first sale Jan 1, 2010). It reports $62,386,855 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 16, 2024 ↗Cetera Advisor Networks LLC /CA — PartnerFacts page ↗
Sources
Note · May 12, 2014 – Oct 10, 2014

Same name, different state: "Gary Chaffin" (IL) is a separate record

This page covers filings where the address state is CA. A separate record, "Gary Chaffin" with address state IL, is listed on 2 filings — most recently by New Continuum Holdings Corp (Oct 10, 2014). The two records do not overlap in time: this page runs May 19, 2021 to May 24, 2024; the other runs May 12, 2014 to Oct 10, 2014.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Gary Chaffin (IL) — PartnerFacts page ↗Form D · Oct 10, 2014 ↗New Continuum Holdings Corp — PartnerFacts page ↗Gary Chaffin (CA) — this page ↗
Sources
Note · Jan 13, 2010 – May 6, 2019

8 address changes between filings

Address moved from Schaumburg, IL to El Segundo, CA — CETERA FINANCIAL SPECIALISTS LLC · Address moved from El Segundo, CA to Schaumburg, IL — CETERA FINANCIAL SPECIALISTS LLC · Address moved from Denver, CO to El Segundo, CA — Cetera Advisors LLC /CO · Address moved from Schaumburg, IL to El Segundo, CA — CETERA FINANCIAL SPECIALISTS LLC · Address moved from El Segundo, CA to Denver, CO — Cetera Advisors LLC /CO · and 3 more

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · May 7, 2018 ↗Form D/A · May 6, 2019 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗Form D/A · Apr 27, 2017 ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 24, 2024 D/A
Cetera Advisors LLC /CO
File 021-53475
$0$0$0None listed on this filingEDGAR ↗
May 16, 2024 D/A
Cetera Advisor Networks LLC /CA
File 021-53477
$0$0$0None listed on this filingEDGAR ↗
May 16, 2024 D/A
CETERA FINANCIAL SPECIALISTS LLC
File 021-210494
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 3

Every issuer that named Gary Chaffin on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

CA
Investing · group: Cetera

Cetera Advisors LLC /CO

Greenwood Village, CO · May 19, 2021 → May 24, 2024 · 7 filings
  • May 24, 2024 · D/A · $35,310,183 sold of Indefinite · 117 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 27, 2023 · D/A · $28,412,140 sold of Indefinite · 93 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 27, 2023 · D/A · $28,412,140 sold of Indefinite · 93 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 29, 2022 · D/A · $32,172,934 sold of Indefinite · 84 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 26, 2021 · D/A · $26,743,655 sold of Indefinite · 72 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 26, 2021 · D/A · $26,743,655 sold of Indefinite · 72 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 19, 2021 · D/A · $26,743,655 sold of Indefinite · 72 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $35.3M from 117 investors as of the latest filing. Gary is listed as executive officer on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

CF
Investing · group: Cetera

CETERA FINANCIAL SPECIALISTS LLC

Schaumburg, IL · May 19, 2021 → May 16, 2024 · 4 filings
  • May 16, 2024 · D/A · $8,350,559 sold of Indefinite · 37 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 28, 2023 · D/A · $6,888,969 sold of Indefinite · 35 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 29, 2022 · D/A · $7,094,082 sold of Indefinite · 25 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 19, 2021 · D/A · $6,164,732 sold of Indefinite · 26 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $8.35M from 37 investors as of the latest filing. Gary is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

CA
Investing · group: Cetera

Cetera Advisor Networks LLC /CA

El Segundo, CA · May 19, 2021 → May 16, 2024 · 7 filings
  • May 16, 2024 · D/A · $62,386,855 sold of Indefinite · 245 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 27, 2023 · D/A · $48,534,787 sold of Indefinite · 229 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 27, 2023 · D/A · $48,534,787 sold of Indefinite · 229 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 29, 2022 · D/A · $51,689,745 sold of Indefinite · 157 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 26, 2021 · D/A · $55,216,078 sold of Indefinite · 154 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 26, 2021 · D/A · $55,216,078 sold of Indefinite · 154 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • May 19, 2021 · D/A · $55,216,078 sold of Indefinite · 154 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $62.4M from 245 investors as of the latest filing. Gary is listed as executive officer on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Gary Chaffin — IL, 1 issuer, May 12, 2014 → Oct 10, 2014 · no shared issuer

People around Gary 33

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

LG
No photo found yet (own website and image search run after this page is viewed)
Person

Lisa Gok

Executive Officer · 18 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TT
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas B. Taylor

Executive Officer, Director · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

JB
No photo found yet (own website and image search run after this page is viewed)
Person

Jeffrey Buchheister

Executive Officer · 18 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

JN
No photo found yet (own website and image search run after this page is viewed)
Person

Joseph D. Neary

Executive Officer, Director · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

MM
No photo found yet (own website and image search run after this page is viewed)
Person

Maura R. Mizuguchi

Executive Officer · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Stanley R. Smiley

Executive Officer · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

BK
No photo found yet (own website and image search run after this page is viewed)
Person

Barbara Kesterson

Executive Officer · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

DH
No photo found yet (own website and image search run after this page is viewed)
Person

David Van Havermaat

Executive Officer · 18 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TS
No photo found yet (own website and image search run after this page is viewed)
Person

Tim Stinson

Executive Officer · 15 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kristy Haley

Executive Officer · 13 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

JI
No photo found yet (own website and image search run after this page is viewed)
Person

Janani Iyengar

Executive Officer · 10 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

David Kim

Executive Officer · 10 shared filings (3 issuers) · also on 30 other issuers

David Kim is on 33 issuers in total — a repeat sponsor. Their page lists every one.

AG
No photo found yet (own website and image search run after this page is viewed)
Person

Andy Gill

Executive Officer · 9 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TS
No photo found yet (own website and image search run after this page is viewed)
Person

Timothy P. Stone

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Patricia McCallop

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

KC
No photo found yet (own website and image search run after this page is viewed)
Person

Kofi Coaxum

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TG
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas Gooley

Director · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

ML
No photo found yet (own website and image search run after this page is viewed)
Person

Melissa Lischin

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

EV
No photo found yet (own website and image search run after this page is viewed)
Person

Elisa Del Valle

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

GM
No photo found yet (own website and image search run after this page is viewed)
Person

Garrett Merrill

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

DU
No photo found yet (own website and image search run after this page is viewed)
Person

Dan Umansky

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

SA
No photo found yet (own website and image search run after this page is viewed)
Person

Summer Arnold

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

BH
No photo found yet (own website and image search run after this page is viewed)
Person

Brett Harrison

Executive Officer, Director · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

KP
No photo found yet (own website and image search run after this page is viewed)
Person

Kathleen D. Van Noy-Pineda

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

JR
No photo found yet (own website and image search run after this page is viewed)
Person

Jon Rothenberg

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

NK
No photo found yet (own website and image search run after this page is viewed)
Person

Nichole Kircher

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

RK
No photo found yet (own website and image search run after this page is viewed)
Person

Ronald G. Krueger

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

EB
No photo found yet (own website and image search run after this page is viewed)
Person

Elayne G. Banks

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

BH
No photo found yet (own website and image search run after this page is viewed)
Person

Brian Haley

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TS
No photo found yet (own website and image search run after this page is viewed)
Person

Timothy Stinson

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

WL
No photo found yet (own website and image search run after this page is viewed)
Person

Winnie Lee

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

TH
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas Halloran

Executive Officer, Director · 2 shared filings (2 issuers)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

AG
No photo found yet (own website and image search run after this page is viewed)
Person

Anthony Gill

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Gary Chaffin. Their page shows their other deals.

The team behind the deals

C
Sponsor group

Cetera

4 issuers · 57 filings · $252M reported sold · 2010–2024

One team, 4 deal companies. Gary Chaffin is listed on 3 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Gary Chaffin.

Same business address

42 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Gary Chaffin by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Gary Chaffin is listed on: none on file. No website or social profile named in Cetera Advisor Networks LLC /CA's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #99,181 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (El Segundo, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Cook County Clerk of Court case search ↗Colorado state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗Illinois Secretary of State business search ↗Colorado Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Gary Chaffin appears on a new Form D, or when a court case or SEC action is matched to them. See plans →