DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Richard Allen Brown

Advisor at CETERA INVESTMENT ADVISERS LLC

SPRING, TX | EL SEGUNDO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:67df65bc-dedd-eccd-b921-f0de58357b1d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 10, 2022 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: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 13, 2018
First registration: Jan 10, 2022
Dual registered: yes, broker-dealer
IAPD individual key: 6620993

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	Sep 16, 2025	n/a	yes	SPRING, TX\|EL SEGUNDO, CA	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	May 3, 2022	Sep 8, 2025	no	SAINT PETERSBURG, FL\|Spring, TX	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	May 3, 2022	Sep 8, 2025	no	Spring, TX\|ST. PETERSBURG, FL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 10, 2022	Apr 20, 2022	no	HOUSTON, TX	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	RAYMOND JAMES & ASSOCIATES, INC.	Sep 8, 2025	May 3, 2022	-1,224	Firm change after gap	Ibd to ibd
RAYMOND JAMES & ASSOCIATES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 8, 2025	Sep 16, 2025	8	Firm change	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 20, 2022	May 3, 2022	13	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 16, 2025 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
May 3, 2022 to Sep 8, 2025factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
May 3, 2022 to Sep 8, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 10, 2022 to Apr 20, 2022factForm ADV

Dated events

Occurred
Sep 8, 2025
Advisor changed firm
Richard Allen Brown left Raymond James Financial Services Advisors, Inc for Cetera Investment Advisers Llc (registered 2025-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 8, 2025
Advisor changed firm
Richard Allen Brown left Raymond James & Associates, Inc. for Raymond James Financial Services Advisors, Inc (registered 2022-05-03)
Form ADVobserved 5 days ago
Occurred
Apr 20, 2022
Advisor changed firm
Richard Allen Brown left Valic Financial Advisors, Inc. for Raymond James & Associates, Inc. (registered 2022-05-03)
Form ADVobserved 5 days ago