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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

MICHAEL ALLEN TOY

Advisor at CETERA INVESTMENT ADVISERS LLC

SAN JOSE, CA

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Search this name across graphsid dfx:ria:3be3f0f8-42b5-b79f-b054-c7fd0c08227a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 2, 2007 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: Apr 24, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 24, 2002
First registration: Oct 2, 2007
Dual registered: yes, broker-dealer
Other names: MICHAEL A TOY|MICHAEL TOY
IAPD individual key: 4013098

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	SAN JOSE, CA	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Nov 30, 2022	Sep 5, 2025	no	San Jose, CA	Previous registration
PFG ADVISORS	Independent wealth	Apr 16, 2015	Nov 30, 2022	no	SANTA CLARA, CA\|SUNNYVALE, CA\|CUPERTINO, CA\|Milpitas, CA\|Goleta, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 1, 2014	Oct 19, 2017	no	SUNNYVALE, CA\|SUNNYVALE, CA\|SAN DIEGO, CA\|CUPERTINO, CA\|SANTA CLARA, CA\|SUNNYVALE, CA\|SANTA CLARA, CA\|CUPERTINO, CA\|CUPERTINO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	May 1, 2014	no	CAMPBELL, CA\|San Jose, CA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Oct 2, 2007	Oct 5, 2009	no	CUPERTINO, CA\|CAMPBELL, CA	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
PFG ADVISORS	AVANTAX ADVISORY SERVICES	Nov 30, 2022	Nov 30, 2022	0	Firm change	RIA to ibd
LPL FINANCIAL LLC	PFG ADVISORS	Oct 19, 2017	Apr 16, 2015	-917	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	May 1, 2014	May 1, 2014	0	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
173344:104556:CA:2022-11-30	Nov 30, 2022	Nov 30, 2022	GOLETA, CA	Firm change
6413:173344:CA:2017-10-11	Oct 19, 2017	Apr 16, 2015	CUPERTINO, CA	Firm change after gap

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Nov 30, 2022 to Sep 5, 2025factForm ADV
→ PFG ADVISORSRegistered adviserregistration: previous registration
Apr 16, 2015 to Nov 30, 2022factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 1, 2014 to Oct 19, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to May 1, 2014factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 2, 2007 to Oct 5, 2009factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
Michael Allen Toy left Pfg Advisors for Avantax Advisory Services (registered 2022-11-30)
Form ADVobserved 4 days ago