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Advisor at FIDUCIARY FINANCIAL ADVISORS
GRAND RAPIDS, MI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| FIDUCIARY FINANCIAL ADVISORS | Independent wealth | Oct 18, 2024 | n/a | yes | GRAND RAPIDS, MI | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Dec 20, 2017 | Oct 24, 2024 | no | HOLLAND, MI|GRAND RAPIDS, MI|HOLLAND, MI | Previous registration |
| CETERA ADVISORS LLC | Former SEC adviser | Oct 3, 2016 | Dec 22, 2017 | no | GRAND RAPIDS, MI | Previous registration |
| INVESTORS CAPITAL ADVISORY | Former SEC adviser | Aug 23, 2012 | Oct 3, 2016 | no | GRAND RAPIDS, MI|LYNNFIELD, MA|LYNNFIELD, MA|LYNNFIELD, MA|LYNNFIELD, MA | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Oct 31, 2005 | Aug 24, 2012 | no | GRAND RAPIDS, MI | Previous registration |
| SUNAMERICA SECURITIES, INC. | n/a | Feb 8, 2001 | Oct 31, 2005 | no | GRAND RAPIDS, MI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | FIDUCIARY FINANCIAL ADVISORS | Oct 24, 2024 | Oct 18, 2024 | -6 | Firm change | Ibd to RIA |
| CETERA ADVISORS LLC | CETERA INVESTMENT ADVISERS LLC | Dec 22, 2017 | Dec 20, 2017 | -2 | Firm change | Other |
| INVESTORS CAPITAL ADVISORY | CETERA ADVISORS LLC | Oct 3, 2016 | Oct 3, 2016 | 0 | Channel change | Other |
| SAGEPOINT FINANCIAL, INC. | INVESTORS CAPITAL ADVISORY | Aug 24, 2012 | Aug 23, 2012 | -1 | Firm change | Other |
| SUNAMERICA SECURITIES, INC. | SAGEPOINT FINANCIAL, INC. | Oct 31, 2005 | Oct 31, 2005 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105644:172103:MI:2024-10-24 | Oct 24, 2024 | Oct 18, 2024 | HOLLAND, MI | Firm change |
| 30613:10299:MA:2016-10-03 | Oct 3, 2016 | Oct 3, 2016 | LYNNFIELD, MA | Firm change |