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Advisor at CETERA INVESTMENT ADVISERS LLC
ST PAUL, MN
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 | Aug 10, 2023 | n/a | yes | ST PAUL, MN | Current employment |
| CRI SECURITIES, LLC | Former SEC adviser | Jan 15, 2014 | Nov 4, 2021 | no | ST. PAUL, MN|ST PAUL, MN | Previous registration |
| SECURIAN FINANCIAL SERVICES, INC. | Former SEC adviser | Sep 27, 2004 | Aug 10, 2023 | no | ST. PAUL, MN|ST PAUL, MN | Previous registration |
| PRUCO SECURITIES, LLC | No RAUM reported | Aug 20, 1998 | Dec 8, 2003 | no | COUNTRYSIDE, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | CRI SECURITIES, LLC | Aug 10, 2023 | Jan 15, 2014 | -3,494 | Firm change after gap | Other |
| CRI SECURITIES, LLC | CETERA INVESTMENT ADVISERS LLC | Nov 4, 2021 | Aug 10, 2023 | 644 | Firm change after gap | Ibd to ibd |
| PRUCO SECURITIES, LLC | SECURIAN FINANCIAL SERVICES, INC. | Dec 8, 2003 | Sep 27, 2004 | 294 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 15296:22589:MN:2023-08-10 | Aug 10, 2023 | Jan 15, 2014 | ST PAUL, MN | Firm change after gap |
| 22589:105644:MN:2021-10-18 | Nov 4, 2021 | Aug 10, 2023 | ST PAUL, MN | Firm change after gap |