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.

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

Jan 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Mar 5, 2021

First registration

Mar 11, 2024

Dual registered

yes, broker-dealer

IAPD individual key

7664664

• Occurred

  Sep 14, 2026
  Advisor changed firm

  Samuel Connelly left LPL Enterprise, LLC for Cetera Investment Advisers LLC (registered 2026-09-17)

  Form ADVobserved 2 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5eaf405a-05df-3bce-c67c-85869872a763

First observed

Mar 11, 2024

Last observed

Sep 18, 2026 2 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.