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Advisor at CETERA INVESTMENT ADVISERS LLC
SAUTEE NACOOCHEE, GA | EL SEGUNDO, CA
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 23, 2023 | n/a | yes | EL SEGUNDO, CA|SAUTEE NACOOCHEE, GA | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Aug 6, 2015 | May 2, 2016 | no | SCOTTSDALE, AZ | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Aug 6, 2015 | Sep 21, 2017 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Aug 6, 2015 | May 2, 2016 | no | SCOTTSDALE, AZ | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Aug 6, 2015 | May 2, 2016 | no | ATLANTA, GA | Previous registration |
| WOODBURY FINANCIAL SERVICES, INC. | Former SEC adviser | Aug 6, 2015 | May 2, 2016 | no | OAKDALE, MN | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 8, 2014 | Apr 22, 2015 | no | MARIETTA, GA|FORT MILL, SC|MARIETTA, GA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Nov 15, 2011 | Aug 20, 2014 | no | ATLANTA, GA|ATLANTA, GA|ATLANTA, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VALIC FINANCIAL ADVISORS, INC. | CETERA INVESTMENT ADVISERS LLC | Sep 21, 2017 | Mar 23, 2023 | 2,009 | Firm change after gap | Other |
| FSC SECURITIES CORPORATION | OSAIC WEALTH, INC. | May 2, 2016 | Aug 6, 2015 | -270 | Firm change after gap | Other |
| SAGEPOINT FINANCIAL, INC. | WOODBURY FINANCIAL SERVICES, INC. | May 2, 2016 | Aug 6, 2015 | -270 | Firm change after gap | Other |
| OSAIC WEALTH, INC. | SAGEPOINT FINANCIAL, INC. | May 2, 2016 | Aug 6, 2015 | -270 | Firm change after gap | Other |
| WOODBURY FINANCIAL SERVICES, INC. | VALIC FINANCIAL ADVISORS, INC. | May 2, 2016 | Aug 6, 2015 | -270 | Firm change after gap | Other |
| LPL FINANCIAL LLC | FSC SECURITIES CORPORATION | Apr 22, 2015 | Aug 6, 2015 | 106 | Firm change | Other |
| FSC SECURITIES CORPORATION | LPL FINANCIAL LLC | Aug 20, 2014 | Sep 8, 2014 | 19 | Firm change | Other |