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

Jul 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Oct 27, 2015

First registration

Dec 15, 2015

Dual registered

yes, broker-dealer

Other names

ADAM CABALLERO|Adam Tito Caballero

IAPD individual key

6526185

• Occurred

  Oct 13, 2025
  Advisor changed firm

  Adam T Caballero left Ameriprise Financial Services, Llc for Cetera Investment Advisers Llc (registered 2025-10-07)

  Form ADVobserved 4 days ago
• Occurred

  Dec 8, 2022
  Advisor changed firm

  Adam T Caballero left Edward Jones for Ameriprise Financial Services, Llc (registered 2022-12-02)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3e1ffc17-44df-b2d2-c88c-c26b7413549b

First observed

Dec 15, 2015

Last observed

Sep 14, 2026 5 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.