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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Lois J. Gregory

Advisor at CETERA INVESTMENT ADVISERS LLC

AKRON, OH | CLEVELAND, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2009 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: Mar 19, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 19, 2009
First registration: Mar 23, 2009
Dual registered: yes, broker-dealer
Other names: LOIS J GREGORY|LOIS J BAXLEY|LOIS JEAN BAXLEY|Lois Jean Gregory|Lois J. Gregory|Lois Gregory|Lois Baxley
IAPD individual key: 5504622

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 5, 2025	n/a	yes	CLEVELAND, OH\|AKRON, OH	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Aug 15, 2022	Sep 5, 2025	no	DALLAS, TX\|Cleveland, OH\|AKRON, OH	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 28, 2020	Jul 21, 2022	no	Cleveland, OH\|CLEVELAND, OH\|PARMA, OH\|CLEVELAND, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 28, 2016	Mar 18, 2020	no	Westlake, OH	Previous registration
PENSION BUILDERS AND CONSULTANTS	Former SEC adviser	Jul 24, 2012	Dec 31, 2015	no	ROCKY RIVER, OH	Previous registration
REHMANN WEALTH	Independent wealth	Jun 9, 2011	Nov 26, 2012	no	ROCKY RIVER, OH\|LANSING, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 23, 2009	Jul 1, 2009	no	Pepper Pike, 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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
J.P. MORGAN SECURITIES LLC	AVANTAX ADVISORY SERVICES	Jul 21, 2022	Aug 15, 2022	25	Firm change	Wirehouse to ibd
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Mar 18, 2020	Apr 28, 2020	41	Firm change	Wirehouse to wirehouse
PENSION BUILDERS AND CONSULTANTS	MORGAN STANLEY	Dec 31, 2015	Jun 28, 2016	180	Firm change	Other
REHMANN WEALTH	PENSION BUILDERS AND CONSULTANTS	Nov 26, 2012	Jul 24, 2012	-125	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	REHMANN WEALTH	Jul 1, 2009	Jun 9, 2011	708	Firm change after gap	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 15, 2022 to Sep 5, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 28, 2020 to Jul 21, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 28, 2016 to Mar 18, 2020factForm ADV
→ PENSION BUILDERS AND CONSULTANTSRegistered adviserregistration: previous registration
Jul 24, 2012 to Dec 31, 2015factForm ADV
→ REHMANN WEALTHRegistered adviserregistration: previous registration
Jun 9, 2011 to Nov 26, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 23, 2009 to Jul 1, 2009factForm ADV

Dated events

Occurred
Jul 21, 2022
Advisor changed firm
Lois J. Gregory left J.P. Morgan Securities Llc for Avantax Advisory Services (registered 2022-08-15)
Form ADVobserved 6 days ago