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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)39 years in industry

CECIL AVIS STAPLES

Advisor at CETERA INVESTMENT ADVISERS LLC

PALESTINE, TX | FRANKSTON, TX

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Search this name across graphsid dfx:ria:33907c96-79e8-332e-da6d-649184acec15

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2003 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: Sep 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Personal Financial Specialist
Exams: S66|S63
First exam: Feb 7, 1994
First registration: Jul 30, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2451441

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	Sep 5, 2025	n/a	yes	FRANKSTON, TX\|PALESTINE, TX	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Aug 4, 2009	Sep 5, 2025	no	DALLAS, TX\|Palestine, TX\|FRANKSTON, TX	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Oct 5, 2004	Aug 20, 2009	no	PALESTINE, TX\|HOUSTON, TX\|PALESTINE, TX	Previous registration
STAPLES & ASSOCIATES, P.C., CPAS	n/a	Jul 30, 2003	Aug 19, 2009	no	PALESTINE, TX	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
GUNNALLEN FINANCIAL, INC	AVANTAX ADVISORY SERVICES	Aug 20, 2009	Aug 4, 2009	-16	Firm change	Other
STAPLES & ASSOCIATES, P.C., CPAS	GUNNALLEN FINANCIAL, INC	Aug 19, 2009	Oct 5, 2004	-1,779	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 4, 2009 to Sep 5, 2025factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Oct 5, 2004 to Aug 20, 2009factForm ADV
→ STAPLES & ASSOCIATES, P.C., CPASRegistered adviserregistration: previous registration
Jul 30, 2003 to Aug 19, 2009factForm ADV

Dated events

No dated event names this entity yet.