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Advisor at CETERA INVESTMENT ADVISERS LLC
WILLIAMSVILLE, NY
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 | WILLIAMSVILLE, NY | Current employment |
| SAXONY CAPITAL MANAGEMENT, LLC | Independent wealth | May 29, 2009 | Aug 10, 2022 | no | WILLIAMSVILLE, NY|SAINT LOUIS, MO | Previous registration |
| AMERICAN PORTFOLIOS ADVISORS, INC | Former SEC adviser | Feb 3, 2004 | Jun 9, 2009 | no | HOLBROOK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAXONY CAPITAL MANAGEMENT, LLC | CETERA INVESTMENT ADVISERS LLC | Aug 10, 2022 | Mar 21, 2024 | 589 | Firm change after gap | RIA to ibd |
| AMERICAN PORTFOLIOS ADVISORS, INC | SAXONY CAPITAL MANAGEMENT, LLC | Jun 9, 2009 | May 29, 2009 | -11 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 122692:105644:MO:2022-08-10 | Aug 10, 2022 | Mar 21, 2024 | SAINT LOUIS, MO | Firm change after gap |