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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

Robert Lee Basham

Advisor at CETERA INVESTMENT ADVISERS LLC

MIDLOTHIAN, VA

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Search this name across graphsid dfx:ria:105d5843-e551-46f7-95c9-4e0d043d9a99

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2002 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: Nov 27, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 27, 1985
First registration: Aug 22, 2002
Dual registered: yes, broker-dealer
Other names: ROBERT BASHAM|ROBERT L BASHAM JR.|ROBERT L. BASHAM|BOB BASHAM|ROBERT LEE BASHAM|Robert Basham|Robert Lee Basham
IAPD individual key: 1435353

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	Aug 10, 2023	n/a	yes	MIDLOTHIAN, VA	Current employment
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 13, 2018	Aug 10, 2023	no	MIDLOTHIAN, VA\|ST. PAUL, MN	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Mar 6, 2018	no	RICHMOND, VA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Feb 12, 2010	Mar 25, 2017	no	RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 12, 2004	Feb 12, 2010	no	RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Aug 22, 2002	May 6, 2004	no	GLEN ALLEN, VA	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
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
MML INVESTORS SERVICES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Mar 6, 2018	Mar 13, 2018	7	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	MSI FINANCIAL SERVICES, INC.	Feb 12, 2010	Feb 12, 2010	0	Firm change	Other
PRUCO SECURITIES, LLC	EQUITABLE ADVISORS, LLC	May 6, 2004	May 12, 2004	6	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 13, 2018 to Aug 10, 2023factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Mar 6, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 12, 2010 to Mar 25, 2017factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 12, 2004 to Feb 12, 2010factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 22, 2002 to May 6, 2004factForm ADV

Dated events

No dated event names this entity yet.