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Advisor at CETERA INVESTMENT ADVISERS LLC
ST PAUL, MN | EAGAN, MN
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 | Aug 10, 2023 | n/a | yes | ST PAUL, MN|EAGAN, MN | Current employment |
| CRI SECURITIES, LLC | Former SEC adviser | Jul 16, 2015 | Nov 4, 2021 | no | ST PAUL, MN | Previous registration |
| SECURIAN FINANCIAL SERVICES, INC. | Former SEC adviser | Jul 16, 2015 | Aug 10, 2023 | no | ST PAUL, MN | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Jul 22, 2013 | Jul 7, 2015 | no | BLOOMINGTON, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | Aug 10, 2023 | Aug 10, 2023 | 0 | Bulk transfer | RIA to ibd |
| CRI SECURITIES, LLC | SECURIAN FINANCIAL SERVICES, INC. | Nov 4, 2021 | Jul 16, 2015 | -2,303 | Channel change | Other |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | CRI SECURITIES, LLC | Jul 7, 2015 | Jul 16, 2015 | 9 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 22589:15296:MN:2021-11-04 | Nov 4, 2021 | Jul 16, 2015 | ST PAUL, MN | Firm change after gap |