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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

John Richardson Cockrell

Advisor at CETERA INVESTMENT ADVISERS LLC

Bethesda, MD | Washington, DC

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Search this name across graphsid dfx:ria:1f807db6-4a75-71b5-4bc5-6f89b27a79b8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2002 to Sep 15, 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: Sep 20, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jan 6, 2016
First registration: Sep 20, 2002
Dual registered: yes, broker-dealer
Other names: JOHN RICHARDSON COCKRELL|RICH COCKRELL|J RICHARD COCKRELL|RICHARD COCKRELL|John R Cockrell|John Cockrell
IAPD individual key: 4355426

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	Bethesda, MD\|Washington, DC	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 29, 2018	Jun 17, 2022	no	WASHINGTON, DC	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Nov 21, 2017	Aug 2, 2018	no	Boston, MA\|Framingham, MA\|Plymouth, MA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 19, 2017	Oct 24, 2017	no	Bowie, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 19, 2003	May 24, 2005	no	WASHINGTON, DC	Previous registration
RIGGS SECURITIES INC.	n/a	Sep 16, 2003	Nov 19, 2003	no	WASHINGTON, DC	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 20, 2002	Oct 31, 2002	no	SOUTH PORTLAND, ME	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CETERA INVESTMENT ADVISERS LLC	Jun 17, 2022	Jun 29, 2023	377	Firm change	Wirehouse to ibd
SANTANDER SECURITIES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 2, 2018	Oct 29, 2018	88	Firm change	Ibd to wirehouse
CHARLES SCHWAB & CO., INC.	SANTANDER SECURITIES	Oct 24, 2017	Nov 21, 2017	28	Firm change	Other
LPL FINANCIAL LLC	CHARLES SCHWAB & CO., INC.	May 24, 2005	Jan 19, 2017	4,258	Firm change after gap	Other
RIGGS SECURITIES INC.	LPL FINANCIAL LLC	Nov 19, 2003	Nov 19, 2003	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	RIGGS SECURITIES INC.	Oct 31, 2002	Sep 16, 2003	320	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:105644:DC:2022-06-17	Jun 17, 2022	Jun 29, 2023	WASHINGTON, DC	Firm change

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 29, 2018 to Jun 17, 2022factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Nov 21, 2017 to Aug 2, 2018factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 19, 2017 to Oct 24, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 19, 2003 to May 24, 2005factForm ADV
→ RIGGS SECURITIES INC.Registered adviserregistration: previous registration
Sep 16, 2003 to Nov 19, 2003factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 20, 2002 to Oct 31, 2002factForm ADV

Dated events

Occurred
Jun 17, 2022
Advisor changed firm
John Richardson Cockrell left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Cetera Investment Advisers Llc (registered 2023-06-29)
Form ADVobserved 6 days ago