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.

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

Apr 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

2

Exams

S66

First exam

Dec 20, 1999

First registration

Feb 24, 2000

Dual registered

yes, broker-dealer

IAPD individual key

4042620

• Occurred

  Dec 31, 2022
  Advisor changed firm

  Scott Albert Mitchem left Pk Financial Strategies, Llc for Avantax Advisory Services (registered 2019-10-25)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:385b0b14-ef51-728f-8639-4dabecfd00c4

First observed

Feb 24, 2000

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.