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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

SHANNON LEE OTTERBECK

Advisor at CETERA INVESTMENT MANAGEMENT LLC

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:7cf31d3e-9691-e732-9558-812cf6804871

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 6, 2003 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 MANAGEMENT LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 23, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 23, 2003
First registration: May 6, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4243413

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 MANAGEMENT LLC	No RAUM reported	Jun 9, 2015	n/a	yes	SAN DIEGO, CA\|SAN DIEGO, CA	Current employment
FIRST ALLIED ASSET MANAGEMENT, INC.	Former SEC adviser	Jan 22, 2014	Oct 30, 2015	no	SAN DIEGO, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Apr 19, 2012	Jan 22, 2014	no	SAN DIEGO, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Oct 7, 2010	Oct 12, 2010	no	SAN DIEGO, CA	Previous registration
FIRST ALLIED ASSET MANAGEMENT, INC.	Former SEC adviser	Oct 3, 2007	Apr 19, 2012	no	SAN DIEGO, CA	Previous registration
GREENBOOK INVESTMENT MANAGEMENT, INC.	n/a	Feb 1, 2005	Oct 7, 2010	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
XELAN INVESTMENT SERVICES, INC.	n/a	May 6, 2003	Dec 16, 2004	no	SAN DIEGO, CA	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
FIRST ALLIED ASSET MANAGEMENT, INC.	CETERA INVESTMENT MANAGEMENT LLC	Oct 30, 2015	Jun 9, 2015	-143	Firm change after gap	Other
FIRST ALLIED ADVISORY SERVICES, INC.	FIRST ALLIED ASSET MANAGEMENT, INC.	Jan 22, 2014	Jan 22, 2014	0	Channel change	Other
FIRST ALLIED ASSET MANAGEMENT, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Apr 19, 2012	Oct 7, 2010	-560	Channel change	Other
GREENBOOK INVESTMENT MANAGEMENT, INC.	FIRST ALLIED ASSET MANAGEMENT, INC.	Oct 7, 2010	Oct 3, 2007	-1,100	Firm change after gap	Other
XELAN INVESTMENT SERVICES, INC.	GREENBOOK INVESTMENT MANAGEMENT, INC.	Dec 16, 2004	Feb 1, 2005	47	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
140292:165436:CA:2015-10-30	Oct 30, 2015	Jun 9, 2015	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (5)

→ CETERA INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Jun 9, 2015 to presentfactForm ADV
→ FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 22, 2014 to Oct 30, 2015factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Apr 19, 2012 to Jan 22, 2014factForm ADV
→ GREENBOOK INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 1, 2005 to Oct 7, 2010factForm ADV
→ XELAN INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 6, 2003 to Dec 16, 2004factForm ADV

Dated events

No dated event names this entity yet.