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Advisor at CETERA INVESTMENT ADVISERS LLC
WOODSTOCK, GA
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 22, 2023 | n/a | yes | WOODSTOCK, GA | Current employment |
| GLOBALT INVESTMENTS | Former SEC adviser | Feb 28, 2017 | Aug 20, 2018 | no | ATLANTA, GA | Previous registration |
| SYNOVUS SECURITIES, INC. | Bd affiliated wealth | Jan 23, 2017 | Aug 20, 2018 | no | COLUMBUS, GA|ATLANTA, GA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 6, 2015 | Nov 29, 2016 | no | FORT MILL, SC | Previous registration |
| SUNTRUST INVESTMENT SERVICES, INC. | Former SEC adviser | Aug 28, 2014 | Dec 12, 2014 | no | ATLANTA, GA|ATLANTA, GA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Jul 20, 2007 | Aug 25, 2014 | no | ATLANTA, GA|ATLANTA, GA|ATLANTA, GA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jan 12, 2006 | Aug 23, 2006 | no | COLUMBUS, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SYNOVUS SECURITIES, INC. | GLOBALT INVESTMENTS | Aug 20, 2018 | Feb 28, 2017 | -538 | Firm change after gap | Other |
| GLOBALT INVESTMENTS | CETERA INVESTMENT ADVISERS LLC | Aug 20, 2018 | Mar 22, 2023 | 1,675 | Firm change after gap | RIA to ibd |
| LPL FINANCIAL LLC | SYNOVUS SECURITIES, INC. | Nov 29, 2016 | Jan 23, 2017 | 55 | Firm change | Other |
| SUNTRUST INVESTMENT SERVICES, INC. | LPL FINANCIAL LLC | Dec 12, 2014 | Jan 6, 2015 | 25 | Firm change | Other |
| FSC SECURITIES CORPORATION | SUNTRUST INVESTMENT SERVICES, INC. | Aug 25, 2014 | Aug 28, 2014 | 3 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | FSC SECURITIES CORPORATION | Aug 23, 2006 | Jul 20, 2007 | 331 | Firm change | Other |