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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

JUDITH ILEEN CAINE

Advisor at CETERA INVESTMENT ADVISERS LLC

SOLON, OH

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Search this name across graphsid dfx:ria:102423cf-2c5e-2cca-5dad-71b82ee3439f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2003 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: Jan 16, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Mar 21, 2003
First registration: Jan 16, 2003
Dual registered: yes, broker-dealer
Other names: Judy Caine|Judy Wasserman|Judith Wasserman
IAPD individual key: 2722743

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	Jun 29, 2023	n/a	yes	SOLON, OH	Current employment
CETERA ADVISORS LLC	Former SEC adviser	Aug 3, 2012	Apr 16, 2021	no	SOLON, OH\|CHILLICOTHE, OH	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Dec 7, 2006	Aug 2, 2012	no	SEVEN HILLS, OH\|SOLON, OH\|WESTLAKE, OH\|CLEVELAND, OH\|SOLON, OH	Previous registration
THE CONCORD EQUITY GROUP, LLC	n/a	Jan 16, 2003	Dec 6, 2006	no	SOLON, OH\|SOLON, OH	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
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Apr 16, 2021	Jun 29, 2023	804	Firm change after gap	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	CETERA ADVISORS LLC	Aug 2, 2012	Aug 3, 2012	1	Channel change	Other
THE CONCORD EQUITY GROUP, LLC	CETERA ADVISOR NETWORKS LLC	Dec 6, 2006	Dec 7, 2006	1	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Aug 3, 2012 to Apr 16, 2021factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Dec 7, 2006 to Aug 2, 2012factForm ADV
→ THE CONCORD EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jan 16, 2003 to Dec 6, 2006factForm ADV

Dated events

No dated event names this entity yet.