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Advisor at CETERA INVESTMENT ADVISERS LLC
Rock Hill, SC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Aug 12, 2026 | n/a | yes | Rock Hill, SC | Current employment |
| INDEPENDENT ADVISOR ALLIANCE, LLC | Independent wealth | Sep 15, 2015 | Aug 12, 2026 | no | Rock Hill, SC | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Nov 19, 2007 | Sep 16, 2015 | no | ROCK HILL, SC | Previous registration |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jan 3, 2007 | Nov 12, 2007 | no | CHESTERFIELD, MO|ROCK HILL, SC | Previous registration |
| FFP ADVISORY SERVICES INC | n/a | Mar 3, 2003 | Feb 28, 2007 | no | ROCK HILL, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISOR ALLIANCE, LLC | CETERA INVESTMENT ADVISERS LLC | Aug 12, 2026 | Aug 12, 2026 | 0 | Firm change | RIA to ibd |
| CETERA ADVISOR NETWORKS LLC | INDEPENDENT ADVISOR ALLIANCE, LLC | Sep 16, 2015 | Sep 15, 2015 | -1 | Firm change | Other |
| FIRST ALLIED ADVISORY SERVICES, INC. | CETERA ADVISOR NETWORKS LLC | Nov 12, 2007 | Nov 19, 2007 | 7 | Firm change | Other |
| FFP ADVISORY SERVICES INC | FIRST ALLIED ADVISORY SERVICES, INC. | Feb 28, 2007 | Jan 3, 2007 | -56 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 168267:105644:SC:2026-08-12 | Aug 12, 2026 | Aug 12, 2026 | ROCK HILL, SC | Firm change |
| 13572:168267:SC:2015-09-16 | Sep 16, 2015 | Sep 15, 2015 | ROCK HILL, SC | Firm change |