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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MICHAEL C KESSEL

Advisor at CETERA INVESTMENT ADVISERS LLC

Fishers, IN | SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:4da1c899-dd78-fb4c-b8be-283778d6ad94

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 7, 2006 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: Jul 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 18, 2006
First registration: Aug 7, 2006
Dual registered: yes, broker-dealer
Other names: MICHAEL CRAIG KESSEL
IAPD individual key: 5138369

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	Jul 30, 2025	n/a	yes	SCHAUMBURG, IL\|Fishers, IN	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 15, 2019	Jul 30, 2025	no	FISHERS, IN\|AMBRIDGE, PA\|FISHERS, IN	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jan 31, 2014	Apr 16, 2019	no	CARMEL, IN\|FISHERS, IN	Previous registration
DAVID A. NOYES & COMPANY	Former SEC adviser	Sep 21, 2010	Feb 6, 2014	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 1, 2010	no	Indianapolis, IN	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 7, 2006	Jun 1, 2009	no	INDIANAPOLIS, IN	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
LPL FINANCIAL LLC	CETERA INVESTMENT ADVISERS LLC	Jul 30, 2025	Jul 30, 2025	0	Firm change	Ibd to ibd
CETERA ADVISORS LLC	LPL FINANCIAL LLC	Apr 16, 2019	Apr 15, 2019	-1	Firm change	Ibd to RIA
DAVID A. NOYES & COMPANY	CETERA ADVISORS LLC	Feb 6, 2014	Jan 31, 2014	-6	Firm change	Other
MORGAN STANLEY	DAVID A. NOYES & COMPANY	Oct 1, 2010	Sep 21, 2010	-10	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 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
6413:105644:IN:2025-07-23	Jul 30, 2025	Jul 30, 2025	FISHERS, IN	Firm change

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jul 30, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 15, 2019 to Jul 30, 2025factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jan 31, 2014 to Apr 16, 2019factForm ADV
→ DAVID A. NOYES & COMPANYRegistered adviserregistration: previous registration
Sep 21, 2010 to Feb 6, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 1, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 7, 2006 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jul 30, 2025
Advisor changed firm
Michael C Kessel left Lpl Financial Llc for Cetera Investment Advisers Llc (registered 2025-07-30)
Form ADVobserved 5 days ago