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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

MICHAEL SIMON

Advisor at CETERA INVESTMENT ADVISERS LLC

WESLEY CHAPEL, FL

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Search this name across graphsid dfx:ria:7cc921fe-73a4-86b6-ad4f-e96faf9c10c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 26, 2010 to Sep 14, 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: Jul 26, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 26, 1993
First registration: Apr 26, 2010
Dual registered: yes, broker-dealer
Other names: MICHAEL SCOTT SIMON
IAPD individual key: 2369509

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	May 19, 2021	n/a	yes	WESLEY CHAPEL, FL	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 9, 2020	Apr 8, 2021	no	Seffner, FL\|BRANDON, FL\|Naples, FL	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Mar 15, 2019	Jun 5, 2020	no	WELLINGTON, FL\|PALM BEACH GARDENS, FL\|BOCA RATON, FL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Sep 19, 2017	Feb 4, 2019	no	FT. LAUDERDALE, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 26, 2010	Dec 8, 2016	no	MIRAMAR, FL\|PEMBROKE PINES, FL\|PEMBROKE PINES, FL\|BOCA RATON, FL\|MARGATE, FL\|MIRAMAR, FL\|SUNRISE, FL\|BOCA RATON, FL\|PEMBROKE PINES, FL\|HIALEAH, FL\|BOCA RATON, FL\|DAVIE, FL\|VERO BEACH, FL\|FORT LAUDERDALE, FL\|SUNRISE, FL\|MARGATE, FL\|HOLLYWOOD, FL\|FORT LAUDERDALE, FL\|PEMBROKE PINES, FL\|CORAL SPRINGS, FL\|PEMBROKE PINES, FL\|CUTLER BAY, FL\|CORAL GABLES, FL\|MIAMI, FL\|MIAMI, FL\|PEMBROKE PINES, FL\|HOLLYWOOD, FL\|FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL\|HOLLYWOOD, FL	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
CUNA BROKERAGE SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Apr 8, 2021	May 19, 2021	41	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	CUNA BROKERAGE SERVICES, INC.	Jun 5, 2020	Jul 9, 2020	34	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	HSBC SECURITIES (USA) INC.	Feb 4, 2019	Mar 15, 2019	39	Firm change	Ibd to ibd
LPL FINANCIAL LLC	EQUITABLE ADVISORS, LLC	Dec 8, 2016	Sep 19, 2017	285	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 19, 2021 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 9, 2020 to Apr 8, 2021factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Mar 15, 2019 to Jun 5, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 19, 2017 to Feb 4, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 26, 2010 to Dec 8, 2016factForm ADV

Dated events

No dated event names this entity yet.