DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CETERA INVESTMENT ADVISERS LLC
EDISON, NJ | FLUSHING, NY
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 | Sep 26, 2017 | n/a | yes | EDISON, NJ|FLUSHING, NY | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 28, 2017 | Sep 25, 2017 | no | BROOKLYN, NY|EDISON, NJ|BROOKLYN, NY|FLUSHING, NY|NEW YORK, NY|BROOKLYN, NY|SAN DIEGO, CA|Boston, MA|Rockville, MD | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jan 21, 2014 | Feb 28, 2017 | no | NEW YORK, NY | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Jan 6, 2014 | Jan 21, 2014 | no | NEW YORK, NY|BROOKLYN, NY|EDISON, NJ|BROOKLYN, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | CETERA INVESTMENT ADVISERS LLC | Sep 25, 2017 | Sep 26, 2017 | 1 | Firm change | Other |
| CETERA INVESTMENT ADVISERS LLC | LPL FINANCIAL LLC | Feb 28, 2017 | Feb 28, 2017 | 0 | Firm change | Other |
| CETERA INVESTMENT SERVICES LLC | CETERA INVESTMENT ADVISERS LLC | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105644:6413:NY:2017-02-28 | Feb 28, 2017 | Feb 28, 2017 | NEW YORK, NY | Firm change |