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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Philip Soto

Advisor at CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA

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Search this name across graphsid dfx:ria:45664b3a-1f27-3af2-339d-8e17bfbcc826

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 1, 2018 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 22, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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: S66|S63
First exam: Sep 22, 2000
First registration: Mar 1, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 3079204

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	Apr 9, 2026	n/a	yes	EL SEGUNDO, CA	Current employment
HALO INVESTMENT SERVICES, LLC	Other adviser	Jan 15, 2026	Feb 2, 2026	no	MANHASSET, NY\|Huntington Beach, CA	Previous registration
T. ROWE PRICE ASSOCIATES, INC.	Asset manager	Mar 1, 2019	Sep 12, 2024	no	San Francisco, CA\|Huntington Beach, CA\|Huntington Beach, CA	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 1, 2018	Mar 6, 2019	no	San Francisco, 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
HALO INVESTMENT SERVICES, LLC	CETERA INVESTMENT ADVISERS LLC	Feb 2, 2026	Apr 9, 2026	66	Firm change	Other
T. ROWE PRICE ASSOCIATES, INC.	HALO INVESTMENT SERVICES, LLC	Sep 12, 2024	Jan 15, 2026	490	Firm change after gap	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	T. ROWE PRICE ASSOCIATES, INC.	Mar 6, 2019	Mar 1, 2019	-5	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 9, 2026 to presentfactForm ADV
→ HALO INVESTMENT SERVICES, LLCRegistered adviserregistration: previous registration
Jan 15, 2026 to Feb 2, 2026factForm ADV
→ T. ROWE PRICE ASSOCIATES, INC.Registered adviserregistration: previous registration
Mar 1, 2019 to Sep 12, 2024factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 1, 2018 to Mar 6, 2019factForm ADV

Dated events

Occurred
Feb 2, 2026
Advisor changed firm
Philip Soto left Halo Investment Services, Llc for Cetera Investment Advisers Llc (registered 2026-04-09)
Form ADVobserved 5 days ago
Occurred
Sep 12, 2024
Advisor changed firm
Philip Soto left T. Rowe Price Associates, Inc. for Halo Investment Services, Llc (registered 2026-01-15)
Form ADVobserved 5 days ago