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Advisor at CETERA INVESTMENT ADVISERS LLC
DUBUQUE, IA | Dubuque, IA
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 | Sep 5, 2025 | n/a | yes | DUBUQUE, IA | Current employment |
| AVANTAX PLANNING PARTNERS, INC. | Bd affiliated wealth | Apr 20, 2018 | n/a | yes | Dubuque, IA | Current employment |
| AVANTAX ADVISORY SERVICES | Former SEC adviser | Mar 22, 2021 | Sep 5, 2025 | no | DALLAS, TX|DUBUQUE, IA | Previous registration |
| ATCAPITAL MANAGEMENT | Former SEC adviser | Jan 26, 2015 | May 25, 2017 | no | DUBUQUE, IA | Previous registration |
| 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 |
| ATCAPITAL MANAGEMENT | AVANTAX PLANNING PARTNERS, INC. | May 25, 2017 | Apr 20, 2018 | 330 | Firm change | Other |