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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

BRETT ALAN GRIDER

Advisor at CETERA INVESTMENT ADVISERS LLC

MOBILE, AL

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Search this name across graphsid dfx:ria:151c4b11-0194-e9c5-34cd-14bf675ef75c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2012 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: Jun 30, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 30, 2011
First registration: Dec 5, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 5696328

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, 2022	n/a	yes	MOBILE, AL	Current employment
HANCOCK WHITNEY INVESTMENT SERVICES INC.	Independent wealth	May 4, 2022	Aug 10, 2022	no	NEW ORLEANS, LA\|MOBILE, AL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 16, 2022	May 13, 2022	no	Pensacola, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 4, 2019	May 13, 2022	no	Pensacola, FL\|PENSACOLA, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 28, 2019	May 13, 2022	no	PENSACOLA, FL	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 22, 2015	Mar 8, 2019	no	MOBILE, AL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Dec 5, 2012	Jul 7, 2015	no	BIRMINGHAM, AL	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
HANCOCK WHITNEY INVESTMENT SERVICES INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2022	Aug 10, 2022	0	Bulk transfer	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	May 13, 2022	Feb 16, 2022	-86	Channel change	RIA to ibd
CHARLES SCHWAB & CO., INC.	HANCOCK WHITNEY INVESTMENT SERVICES INC.	May 13, 2022	May 4, 2022	-9	Firm change	Ibd to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 13, 2022	Apr 4, 2019	-1,135	Channel change	Other
ADVICE AND PLANNING SERVICES	TD AMERITRADE, INC.	Mar 8, 2019	Mar 28, 2019	20	Firm change	Other
STRATEGIC ADVISERS LLC	ADVICE AND PLANNING SERVICES	Jul 7, 2015	Jul 22, 2015	15	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2022 to presentfactForm ADV
→ HANCOCK WHITNEY INVESTMENT SERVICES INC.Registered adviserregistration: previous registration
May 4, 2022 to Aug 10, 2022factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 4, 2019 to May 13, 2022factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 16, 2022 to May 13, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 28, 2019 to May 13, 2022factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 22, 2015 to Mar 8, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Dec 5, 2012 to Jul 7, 2015factForm ADV

Dated events

Occurred
May 13, 2022
Advisor changed firm
Brett Alan Grider left Charles Schwab & Co., Inc. for Hancock Whitney Investment Services Inc. (registered 2022-05-04)
Form ADVobserved 4 days ago