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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

CARLOS EMMANUEL SALMON

Advisor at CETERA INVESTMENT ADVISERS LLC

FARMINGTON, CT | NEW HAVEN, CT

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Search this name across graphsid dfx:ria:4b3e53f6-166b-7665-87cf-1ba7f69a8a63

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 29, 2012 to Sep 15, 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: Oct 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Oct 26, 2012
First registration: Oct 29, 2012
Dual registered: yes, broker-dealer
Other names: CARLOS SALMON
IAPD individual key: 5865424

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	Dec 6, 2023	n/a	yes	FARMINGTON, CT\|NEW HAVEN, CT	Current employment
CIC WEALTH, LLC	Former SEC adviser	Jan 6, 2022	Nov 17, 2023	no	ROCKY HILL, CT\|ROCKVILLE, MD	Previous registration
STRATOS WEALTH ADVISORS LLC	Independent wealth	May 18, 2020	Dec 16, 2021	no	East Hartford, CT\|Newington, CT\|Rocky Hill, CT	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Jan 17, 2018	Jul 13, 2018	no	WEST SPRINGFIELD, MA\|East Hartford, CT\|MANCHESTER, CT\|MANCHESTER, CT\|MANCHESTER, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 29, 2012	Aug 23, 2017	no	HARTFORD, CT\|HARTFORD, CT\|SPRINGFIELD, MA\|FARMINGTON, CT\|SPRINGFIELD, MA	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
CIC WEALTH, LLC	CETERA INVESTMENT ADVISERS LLC	Nov 17, 2023	Dec 6, 2023	19	Firm change	RIA to ibd
STRATOS WEALTH ADVISORS LLC	CIC WEALTH, LLC	Dec 16, 2021	Jan 6, 2022	21	Firm change	RIA to RIA
KEY INVESTMENT SERVICES LLC	STRATOS WEALTH ADVISORS LLC	Jul 13, 2018	May 18, 2020	675	Firm change after gap	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	KEY INVESTMENT SERVICES LLC	Aug 23, 2017	Jan 17, 2018	147	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Dec 6, 2023 to presentfactForm ADV
→ CIC WEALTH, LLCRegistered adviserregistration: previous registration
Jan 6, 2022 to Nov 17, 2023factForm ADV
→ STRATOS WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
May 18, 2020 to Dec 16, 2021factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Jan 17, 2018 to Jul 13, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 29, 2012 to Aug 23, 2017factForm ADV

Dated events

Occurred
Nov 17, 2023
Advisor changed firm
Carlos Emmanuel Salmon left Cic Wealth, Llc for Cetera Investment Advisers Llc (registered 2023-12-06)
Form ADVobserved 4 days ago