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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

JOHN RAYMOND PHILLIPS

Advisor at CETERA INVESTMENT ADVISERS LLC

WEST DES MOINES, IA

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Search this name across graphsid dfx:ria:8531a953-681b-352c-83cb-4ca05b2304cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2012 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: Mar 31, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 31, 2012
First registration: Apr 9, 2012
Dual registered: yes, broker-dealer
Other names: JOHN RAYMOND PHILLIPS|JOHN RAYMOND PHILLIPS
IAPD individual key: 6007336

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	Jun 29, 2023	n/a	yes	WEST DES MOINES, IA	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	May 27, 2014	Jun 9, 2021	no	DES MOINES, IA\|WEST DES MOINES, IA\|Des Moines, IA\|NEVADA, IA\|WINDSOR, CT	Previous registration
BALEFIRE, LLC	Independent wealth	Oct 2, 2013	May 15, 2014	no	DALLAS, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 2, 2013	May 28, 2014	no	WEST DES MOINES, IA\|SAN DIEGO, CA\|DALLAS, TX	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 9, 2012	Oct 1, 2013	no	WEST DES MOINES, IA	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
VOYA FINANCIAL ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Jun 9, 2021	Jun 29, 2023	750	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	VOYA FINANCIAL ADVISORS, INC.	May 28, 2014	May 27, 2014	-1	Firm change	Other
BALEFIRE, LLC	LPL FINANCIAL LLC	May 15, 2014	Oct 2, 2013	-225	Firm change after gap	Other
SECURIAN FINANCIAL SERVICES, INC.	BALEFIRE, LLC	Oct 1, 2013	Oct 2, 2013	1	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
May 27, 2014 to Jun 9, 2021factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 2, 2013 to May 28, 2014factForm ADV
→ BALEFIRE, LLCRegistered adviserregistration: previous registration
Oct 2, 2013 to May 15, 2014factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 9, 2012 to Oct 1, 2013factForm ADV

Dated events

No dated event names this entity yet.