DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CETERA INVESTMENT ADVISERS LLC
SHOREWOOD, IL
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 |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | n/a | yes | SHOREWOOD, IL | Current employment |
| SUMMIT FINANCIAL GROUP INC | Former SEC adviser | Feb 11, 2011 | May 20, 2021 | no | SHOREWOOD, IL | Previous registration |
| QA3 FINANCIAL LLC | n/a | Oct 8, 2004 | Feb 11, 2011 | no | SHOREWOOD, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SUMMIT FINANCIAL GROUP INC | CETERA INVESTMENT ADVISERS LLC | May 20, 2021 | Jun 29, 2023 | 770 | Bulk transfer | Ibd to ibd |
| QA3 FINANCIAL LLC | SUMMIT FINANCIAL GROUP INC | Feb 11, 2011 | Feb 11, 2011 | 0 | Firm change | Other |