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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

JONATHAN CHRISTOPHER WANG

Advisor at CETERA INVESTMENT ADVISERS LLC

BALTIMORE, MD

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Search this name across graphsid dfx:ria:280db527-398a-813b-b471-c30c3d0fdd3e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jul 1, 2011 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: Jun 30, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 30, 2011
First registration: Jul 1, 2011
Dual registered: yes, broker-dealer
Other names: JONATHAN WANG|Jonathan C Wang|JONATHAN C WANG|JONATHAN CHRISTOPHER WANG
IAPD individual key: 5915845

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	May 27, 2025	n/a	yes	BALTIMORE, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 14, 2022	Jan 8, 2025	no	WASHINGTON, DC\|Bethesda, MD\|BETHESDA, MD\|Germantown, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 10, 2022	Oct 20, 2022	no	BETHESDA, MD	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 24, 2019	Dec 20, 2021	no	POTOMAC, MD	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 31, 2016	Jul 10, 2019	no	NORTH POTOMAC, MD\|GAITHERSBURG, MD	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jul 18, 2013	Dec 31, 2016	no	ROCKVILLE, MD\|NORTH POTOMAC, MD\|GAITHERSBURG, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 1, 2011	Jun 11, 2013	no	POTOMAC, MD\|COLUMBIA, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 1, 2011	Oct 13, 2011	no	NORTH BETHESDA, MD	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	Jan 8, 2025	May 27, 2025	139	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2022	Nov 14, 2022	25	Firm change	Wirehouse to wirehouse
HSBC SECURITIES (USA) INC.	WELLS FARGO ADVISORS	Dec 20, 2021	Mar 10, 2022	80	Firm change	Ibd to wirehouse
TRUIST ADVISORY SERVICES, INC.	HSBC SECURITIES (USA) INC.	Jul 10, 2019	Jul 24, 2019	14	Firm change	Ibd to ibd
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Aug 31, 2016	-122	Bulk transfer	Other
WELLS FARGO ADVISORS	SUNTRUST INVESTMENT SERVICES, INC.	Jun 11, 2013	Jul 18, 2013	37	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 13, 2011	Dec 1, 2011	49	Firm change	Wirehouse to wirehouse

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 27, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 14, 2022 to Jan 8, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 10, 2022 to Oct 20, 2022factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 24, 2019 to Dec 20, 2021factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Aug 31, 2016 to Jul 10, 2019factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jul 18, 2013 to Dec 31, 2016factForm ADV

Dated events

Occurred
Jan 8, 2025
Advisor changed firm
Jonathan Christopher Wang left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Cetera Investment Advisers Llc (registered 2025-05-27)
Form ADVobserved 5 days ago
Occurred
Oct 20, 2022
Advisor changed firm
Jonathan Christopher Wang left Wells Fargo Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-11-14)
Form ADVobserved 5 days ago