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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

MITCHELL NELSON

Advisor at CETERA INVESTMENT ADVISERS LLC

HIGHLANDS, NJ | LARGO, FL

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Search this name across graphsid dfx:ria:8aeee690-de5c-ddea-da34-9abed07fea8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 1, 2011 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 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jul 1, 2002
First registration: Apr 1, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 4541840

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	Feb 1, 2024	n/a	yes	LARGO, FL\|HIGHLANDS, NJ	Current employment
ROCKDALE FINANCIAL SERVICES, INC.	State registered	Nov 23, 2021	Jan 5, 2026	no	LARGO, FL\|EATONTOWN, NJ	Previous registration
STONEX ADVISORS INC.	Bd affiliated wealth	Apr 5, 2017	Oct 21, 2021	no	Morganville, NJ\|BIRMINGHAM, AL\|Leonardo, NJ	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Mar 15, 2012	Apr 5, 2017	no	OAKHURST, NJ\|GREENWOOD VILLAGE, CO\|HAMILTON, NJ\|LIDO BEACH, NY	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Apr 1, 2011	Mar 21, 2012	no	TOMS RIVER, NJ	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
ROCKDALE FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Jan 5, 2026	Feb 1, 2024	-704	Firm change after gap	Other
STONEX ADVISORS INC.	ROCKDALE FINANCIAL SERVICES, INC.	Oct 21, 2021	Nov 23, 2021	33	Firm change	Ibd to state RIA
CETERA ADVISORS LLC	STONEX ADVISORS INC.	Apr 5, 2017	Apr 5, 2017	0	Firm change	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	CETERA ADVISORS LLC	Mar 21, 2012	Mar 15, 2012	-6	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Feb 1, 2024 to presentfactForm ADV
→ ROCKDALE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 23, 2021 to Jan 5, 2026factForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Apr 5, 2017 to Oct 21, 2021factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Mar 15, 2012 to Apr 5, 2017factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Apr 1, 2011 to Mar 21, 2012factForm ADV

Dated events

Occurred
Jan 5, 2026
Advisor changed firm
Mitchell Nelson left Rockdale Financial Services, Inc. for Cetera Investment Advisers Llc (registered 2024-02-01)
Form ADVobserved 6 days ago