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Advisor at CETERA INVESTMENT ADVISERS LLC
PUNTA GORDA, FL
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 | Apr 11, 2023 | n/a | yes | PUNTA GORDA, FL | Current employment |
| SUMMIT FINANCIAL GROUP INC | Former SEC adviser | Jul 30, 2009 | May 20, 2021 | no | PORT CHARLOTTE, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 5, 2001 | Apr 29, 2009 | no | PUNTA GORDA, FL|PUNTA GORDA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SUMMIT FINANCIAL GROUP INC | CETERA INVESTMENT ADVISERS LLC | May 20, 2021 | Apr 11, 2023 | 691 | Bulk transfer | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SUMMIT FINANCIAL GROUP INC | Apr 29, 2009 | Jul 30, 2009 | 92 | Firm change | Other |