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.

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

Jul 1, 2004earliest registration or exam on IAPD

Years in industry

22derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Aug 20, 2012

First registration

Aug 21, 2012

Dual registered

yes, broker-dealer

Other names

LISL KEI HONMA

IAPD individual key

6055008

• Occurred

  May 7, 2026
  Advisor changed firm

  Lisl K Sonomura left Morgan Stanley for Cetera Investment Advisers Llc (registered 2026-07-02)

  Form ADVobserved 5 days ago
• Occurred

  Feb 25, 2022
  Advisor changed firm

  Lisl K Sonomura left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-03-10)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:21c3fcbf-4da5-cafd-2cfc-cca572c651b7

First observed

Aug 21, 2012

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.