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Advisor at CETERA INVESTMENT ADVISERS LLC
NORTH HAVEN, CT
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 | Dec 5, 2025 | n/a | yes | NORTH HAVEN, CT | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 11, 2011 | Dec 11, 2025 | no | NORTH HAVEN, CT|MILFORD, CT|WALLINGFORD, CT|MILFORD, CT|NEW HAVEN, CT|WATERFORD, CT|GROTON, CT|NEW HAVEN, CT|WATERTOWN, CT|MIDDLETOWN, CT | Previous registration |
| UVEST FINANCIAL SERVICES GROUP, INC. | n/a | Oct 4, 2011 | Oct 11, 2011 | no | NORTH HAVEN, CT|MILFORD, CT|WATERBURY, CT|SOUTHBURY, CT|WOLCOTT, CT|WALLINGFORD, CT|WOLCOTT, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | CETERA INVESTMENT ADVISERS LLC | Dec 11, 2025 | Dec 5, 2025 | -6 | Firm change | Ibd to ibd |
| UVEST FINANCIAL SERVICES GROUP, INC. | LPL FINANCIAL LLC | Oct 11, 2011 | Oct 11, 2011 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:105644:CT:2025-11-24 | Dec 11, 2025 | Dec 5, 2025 | MIDDLETOWN, CT | Firm change |