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Advisor at CETERA INVESTMENT ADVISERS LLC
GREENWOOD VILLAGE, CO
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 24, 2024 | n/a | yes | GREENWOOD VILLAGE, CO | Current employment |
| OSAIC FA, INC. | Former SEC adviser | Aug 28, 2009 | Jun 25, 2024 | no | DENVER, CO|DENVER, CO|DENVER, CO | Previous registration |
| HORNOR, TOWNSEND & KENT, LLC | Independent wealth | Dec 4, 2008 | Sep 8, 2009 | no | DENVER, CO|DENVER, CO|DENVER, CO | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Nov 29, 2005 | Jul 24, 2006 | no | DENVER, CO|SPRINGFIELD, MA|SPRINGFIELD, MA|GREENWOOD VILLAGE, CO | Previous registration |
| METLIFE INVESTMENT FUND SERVICES LLC | n/a | Mar 17, 2005 | Dec 31, 2005 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC FA, INC. | CETERA INVESTMENT ADVISERS LLC | Jun 25, 2024 | Jun 24, 2024 | -1 | Firm change | Ibd to ibd |
| HORNOR, TOWNSEND & KENT, LLC | OSAIC FA, INC. | Sep 8, 2009 | Aug 28, 2009 | -11 | Firm change | Other |
| MSI FINANCIAL SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC | Jul 24, 2006 | Dec 4, 2008 | 864 | Firm change after gap | Other |
| METLIFE INVESTMENT FUND SERVICES LLC | MSI FINANCIAL SERVICES, INC. | Dec 31, 2005 | Nov 29, 2005 | -32 | Bulk transfer | Other |