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Advisor at CETERA INVESTMENT ADVISERS LLC
SOUTHINGTON, CT
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 | Mar 21, 2024 | n/a | yes | SOUTHINGTON, CT | Current employment |
| INVESTORS CAPITAL ADVISORY | Former SEC adviser | Jun 29, 2015 | Oct 3, 2016 | no | SOUTHINGTON, CT|LYNNFIELD, MA|LYNNFIELD, MA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 11, 1994 | Jul 7, 2015 | no | FARMINGTON, CT|FARMINGTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVESTORS CAPITAL ADVISORY | CETERA INVESTMENT ADVISERS LLC | Oct 3, 2016 | Mar 21, 2024 | 2,726 | Bulk transfer | Other |
| LPL FINANCIAL LLC | INVESTORS CAPITAL ADVISORY | Jul 7, 2015 | Jun 29, 2015 | -8 | Firm change | Other |