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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

SHANNA STOWE-GALAINE PENDERGRAST

Advisor at CETERA INVESTMENT ADVISERS LLC

CULLMAN, AL | HUNTSVILLE, AL | MADISON, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7addeee3-c2b9-0738-c0a2-c07051dd134a

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 22, 2000 to Sep 19, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63|S66
First exam: Sep 17, 1998
First registration: Aug 22, 2000
Dual registered: yes, broker-dealer
Other names: SHANNA GALAINE STOWE|SHANNA GALAINE STOWE|SHANNA STOWE MELVIN|SHANNA STOWE JOHNSON|SHANNA STOWE MARINO|Shanna Galaine-Stowe Pendergrast
IAPD individual key: 3093527

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 13, 2021	n/a	yes	CULLMAN, AL\|HUNTSVILLE, AL\|MADISON, AL	Current employment
EDWARD JONES	National bd RIA	Apr 11, 2019	Apr 13, 2021	no	Florence, AL\|ST LOUIS, MO\|Florence, AL\|Florence, AL\|FLORENCE, AL	Previous registration
BBVA COMPASS INVESTMENT SOLUTIONS, INC	n/a	Sep 13, 2002	Mar 6, 2008	no	MUSCLE SHOALS, AL\|MUSCLE SHOALS, AL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 22, 2000	Sep 6, 2002	no	FLORENCE, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDWARD JONES	CETERA INVESTMENT ADVISERS LLC	Apr 13, 2021	Apr 13, 2021	0	Firm change	Ibd to ibd
BBVA COMPASS INVESTMENT SOLUTIONS, INC	EDWARD JONES	Mar 6, 2008	Apr 11, 2019	4,053	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BBVA COMPASS INVESTMENT SOLUTIONS, INC	Sep 6, 2002	Sep 13, 2002	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
250:105644:AL:2021-04-13	Apr 13, 2021	Apr 13, 2021	FLORENCE, AL	Firm change

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 13, 2021 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 11, 2019 to Apr 13, 2021factForm ADV
→ BBVA COMPASS INVESTMENT SOLUTIONS, INCRegistered adviserregistration: previous registration
Sep 13, 2002 to Mar 6, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 22, 2000 to Sep 6, 2002factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 18, 2026
Shanna Stowe-Galaine Pendergrast added a TX registration at Cetera Investment Advisers Llc

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7addeee3-c2b9-0738-c0a2-c07051dd134a
First observed: Aug 22, 2000
Last observed: Sep 19, 2026 29 h ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SHANNA STOWE-GALAINE PENDERGRAST

Advisor at CETERA INVESTMENT ADVISERS LLC

CULLMAN, AL | HUNTSVILLE, AL | MADISON, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7addeee3-c2b9-0738-c0a2-c07051dd134a

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

CETERA INVESTMENT ADVISERS LLC

Bd affiliated wealth

Apr 13, 2021

n/a

yes

CULLMAN, AL|HUNTSVILLE, AL|MADISON, AL

Current employment

EDWARD JONES

National bd RIA

Apr 11, 2019

Apr 13, 2021

Florence, AL|ST LOUIS, MO|Florence, AL|Florence, AL|FLORENCE, AL

Previous registration

BBVA COMPASS INVESTMENT SOLUTIONS, INC

n/a

Sep 13, 2002

Mar 6, 2008

MUSCLE SHOALS, AL|MUSCLE SHOALS, AL

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Aug 22, 2000

Sep 6, 2002

FLORENCE, AL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

EDWARD JONES

CETERA INVESTMENT ADVISERS LLC

Apr 13, 2021

Firm change

Ibd to ibd

BBVA COMPASS INVESTMENT SOLUTIONS, INC

EDWARD JONES

Mar 6, 2008

Apr 11, 2019

4,053

Firm change after gap

Other

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BBVA COMPASS INVESTMENT SOLUTIONS, INC

Sep 6, 2002

Sep 13, 2002

Firm change

Other

Team

Left

Joined

From

Kind

250:105644:AL:2021-04-13

Apr 13, 2021

FLORENCE, AL

Firm change