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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

Michal B Caro

Advisor at CETERA INVESTMENT ADVISERS LLC

Medford, OR

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Search this name across graphsid dfx:ria:a6f1c087-5f9e-8540-2b20-8a1bbe9a390c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 23, 2010 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: Feb 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Feb 2, 2006
First registration: Dec 23, 2010
Dual registered: yes, broker-dealer
Other names: MICHELLE BERNICE GLEW|MICHAL BERNICE GLEW|MICHAEL BERNICE SLATE|MICHAEL BERNICE GLEW|MICHAL BERNICE SLATE|Michal B Slate
IAPD individual key: 5077332

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	Aug 14, 2026	n/a	yes	Medford, OR	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 19, 2024	Sep 11, 2026	no	Medford, OR\|MEDFORD, OR\|SAN DIEGO, CA	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Jun 19, 2020	Apr 26, 2024	no	MEDFORD, OR\|SACRAMENTO, CA\|MEDFORD, OR\|Roseville, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 4, 2019	Jun 19, 2020	no	ASHLAND, OR	Previous registration
CASTLE ROCK WEALTH MANAGEMENT, LLC	Independent wealth	May 1, 2019	Sep 3, 2019	no	WALNUT CREEK, CA\|Ashland, OR	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 14, 2019	May 2, 2019	no	MEDFORD, OR	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Mar 4, 2014	Jan 14, 2019	no	SAN DIEGO, CA\|HARBOR, OR\|MEDFORD, OR	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 23, 2010	Feb 28, 2014	no	MEDFORD, OR\|BEND, OR\|SAN LEANDRO, CA\|MEDFORD, OR\|AUBURN, CA\|ROSEVILLE, CA\|MEDFORD, OR\|PORTLAND, OR\|ROSEVILLE, CA\|ROCKLIN, CA\|MEDFORD, OR\|PORTLAND, OR	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
LPL FINANCIAL LLC	CETERA INVESTMENT ADVISERS LLC	Sep 11, 2026	Aug 14, 2026	-28	Bulk transfer	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Apr 26, 2024	Apr 19, 2024	-7	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	NEXT FINANCIAL GROUP, INC.	Jun 19, 2020	Jun 19, 2020	0	Firm change	Ibd to ibd
CASTLE ROCK WEALTH MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Sep 3, 2019	Sep 4, 2019	1	Firm change	RIA to ibd
CETERA INVESTMENT ADVISERS LLC	CASTLE ROCK WEALTH MANAGEMENT, LLC	May 2, 2019	May 1, 2019	-1	Firm change	Ibd to RIA
CUSO FINANCIAL SERVICES, L.P.	CETERA INVESTMENT ADVISERS LLC	Jan 14, 2019	Jan 14, 2019	0	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	CUSO FINANCIAL SERVICES, L.P.	Feb 28, 2014	Mar 4, 2014	4	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:105644:CA:2026-09-11	Sep 11, 2026	Aug 14, 2026	SAN DIEGO, CA	Firm change
42132:105644:OR:2019-01-14	Jan 14, 2019	Jan 14, 2019	MEDFORD, OR	Firm change

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Sep 4, 2019 to Jun 19, 2020factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 19, 2024 to Sep 11, 2026factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jun 19, 2020 to Apr 26, 2024factForm ADV
→ CASTLE ROCK WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 1, 2019 to Sep 3, 2019factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Mar 4, 2014 to Jan 14, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 23, 2010 to Feb 28, 2014factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
Michal B Caro left LPL Financial LLC for Cetera Investment Advisers LLC (registered 2026-08-14)
Form ADVobserved 5 days ago
Occurred
Apr 26, 2024
Advisor changed firm
Michal B Caro left Next Financial Group, Inc. for Lpl Financial Llc (registered 2024-04-19)
Form ADVobserved 6 days ago