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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

PHILLIP A SCHWEGMANN

Advisor at CETERA INVESTMENT ADVISERS LLC

CINCINNATI, OH

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Search this name across graphsid dfx:ria:3812d0e6-88c2-7e01-eb0e-d13710e25500

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 16, 2001 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 18, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jun 18, 1986
First registration: Feb 16, 2001
Dual registered: yes, broker-dealer
Other names: PHILLIP ANTHONY SCHWEGMANN|PHILIP ANTHONY SCHWEGMANN
IAPD individual key: 1497968

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	Nov 20, 2025	n/a	yes	CINCINNATI, OH	Current employment
L.M. KOHN & COMPANY	Former SEC adviser	Jan 3, 2024	Nov 7, 2025	no	Cincinnati, OH\|Cincinnati, OH\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 14, 2023	no	CINCINNATI, OH\|Cincinnati, OH\|CINCINNATI, OH\|Cincinnati, OH	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 16, 2001	Jun 1, 2009	no	CINCINNATI, OH\|CINCINNATI, OH	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
L.M. KOHN & COMPANY	CETERA INVESTMENT ADVISERS LLC	Nov 7, 2025	Nov 20, 2025	13	Firm change	RIA to ibd
MORGAN STANLEY	L.M. KOHN & COMPANY	Dec 14, 2023	Jan 3, 2024	20	Firm change	Wirehouse to RIA
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 20, 2025 to presentfactForm ADV
→ L.M. KOHN & COMPANYRegistered adviserregistration: previous registration
Jan 3, 2024 to Nov 7, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 14, 2023factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 16, 2001 to Jun 1, 2009factForm ADV

Dated events

Occurred
Nov 7, 2025
Advisor changed firm
Phillip A Schwegmann left L.M. Kohn & Company for Cetera Investment Advisers Llc (registered 2025-11-20)
Form ADVobserved 6 days ago
Occurred
Dec 14, 2023
Advisor changed firm
Phillip A Schwegmann left Morgan Stanley for L.M. Kohn & Company (registered 2024-01-03)
Form ADVobserved 6 days ago