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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

CHRISTOPHER RIOFRIO

Advisor at CETERA INVESTMENT ADVISERS LLC

WESTBURYN, NY

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Search this name across graphsid dfx:ria:0974616e-437d-11ca-67d3-7d431ef53da3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 3, 2016 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 15, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 15, 2013
First registration: Nov 3, 2016
Dual registered: yes, broker-dealer
Other names: Christopher Riofrio|CHRISTOPHER J RIOFRIO|CHRISTOPHER J RIOFRIO|CHRISTOPHER JESUS RIOFRIO
IAPD individual key: 6190422

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 7, 2025	n/a	yes	WESTBURYN, NY	Current employment
LUMIERE FINANCIAL	Independent wealth	May 7, 2025	Sep 8, 2025	no	NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 30, 2020	May 23, 2025	no	EAST ELMHURST, NY\|JACKSON HEIGHTS, NY\|GREAT NECK, NY	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	May 15, 2018	Jan 15, 2020	no	ELMHURST, NY\|Forest Hills, NY\|RIDGEWOOD, NY\|Astoria, NY\|BROOKLYN, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 3, 2016	May 15, 2018	no	CORONA, NY\|CORONA, NY\|JACKSON HEIGHTS, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LUMIERE FINANCIAL	CETERA INVESTMENT ADVISERS LLC	Sep 8, 2025	Sep 7, 2025	-1	Firm change	RIA to ibd
J.P. MORGAN SECURITIES LLC	LUMIERE FINANCIAL	May 23, 2025	May 7, 2025	-16	Firm change	Wirehouse to RIA
OSAIC INSTITUTIONS, INC.	J.P. MORGAN SECURITIES LLC	Jan 15, 2020	Jan 30, 2020	15	Firm change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	OSAIC INSTITUTIONS, INC.	May 15, 2018	May 15, 2018	0	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 7, 2025 to presentfactForm ADV
→ LUMIERE FINANCIALRegistered adviserregistration: previous registration
May 7, 2025 to Sep 8, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 30, 2020 to May 23, 2025factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
May 15, 2018 to Jan 15, 2020factForm ADV

Dated events

Occurred
Sep 8, 2025
Advisor changed firm
Christopher Riofrio left Lumiere Financial for Cetera Investment Advisers Llc (registered 2025-09-07)
Form ADVobserved 5 days ago
Occurred
May 23, 2025
Advisor changed firm
Christopher Riofrio left J.P. Morgan Securities Llc for Lumiere Financial (registered 2025-05-07)
Form ADVobserved 5 days ago