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Advisor at CETERA INVESTMENT ADVISERS LLC
BIDDEFORD, ME
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 | Jun 24, 2026 | n/a | yes | BIDDEFORD, ME | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jan 21, 2014 | May 6, 2026 | no | SACO, ME | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | May 4, 2010 | Jan 21, 2014 | no | SACO, ME|ST CLOUD, MN|SACO, ME|SCARBOROUGH, ME|OLD ORCHARD BEACH, ME|BIDDEFORD, ME|SOUTH PORTLAND, ME|WESTBROOK, ME|SACO, ME|PORTLAND, ME|SACO, ME|BIDDEFORD, ME|SCARBOROUGH, ME|WESTBROOK, ME|OLD ORCHARD BEACH, ME|SOUTH PORTLAND, ME | Previous registration |
| TD WEALTH MANAGEMENT SERVICES INC. | n/a | Nov 17, 2009 | Apr 23, 2010 | no | LOWELL, MA|SPRINGFIELD, MA|PORTLAND, ME|ANDOVER, MA | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Jun 26, 2002 | Nov 17, 2009 | no | PORTLAND, ME | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT SERVICES LLC | CETERA INVESTMENT ADVISERS LLC | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| TD WEALTH MANAGEMENT SERVICES INC. | CETERA INVESTMENT SERVICES LLC | Apr 23, 2010 | May 4, 2010 | 11 | Firm change | Other |
| CETERA INVESTMENT SERVICES LLC | TD WEALTH MANAGEMENT SERVICES INC. | Nov 17, 2009 | Nov 17, 2009 | 0 | Bulk transfer | Other |