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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

CARLA SEMRYCK MATHIAS

Advisor at CETERA INVESTMENT ADVISERS LLC

MOUNT KISCO, NY

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Search this name across graphsid dfx:ria:a05a66ce-4041-5919-e791-9c4cdef2c9a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 15, 2002 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: Sep 1, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Aug 21, 1985
First registration: Jul 15, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1349359

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	MOUNT KISCO, NY	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jun 30, 2005	May 20, 2021	no	MT KISCO, NY	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Dec 13, 2004	Jun 30, 2005	no	HARTSDALE , NY	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jul 15, 2002	Dec 13, 2004	no	HARTSDALE, NY	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
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	SUMMIT FINANCIAL GROUP INC	Jun 30, 2005	Jun 30, 2005	0	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Dec 13, 2004	Dec 13, 2004	0	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jun 30, 2005 to May 20, 2021factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Dec 13, 2004 to Jun 30, 2005factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jul 15, 2002 to Dec 13, 2004factForm ADV

Dated events

No dated event names this entity yet.