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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ALEXANDER HOUSTON MINGE

Advisor at CETERA INVESTMENT ADVISERS LLC

Maryville, TN

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Search this name across graphsid dfx:ria:a7c89e27-650d-6784-a92e-1ff29fc27c21

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2006 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 6, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 6, 2006
First registration: Sep 20, 2006
Dual registered: yes, broker-dealer
Other names: ALEXANDER H MINGE|ALEX MINGE
IAPD individual key: 5083536

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	Mar 21, 2024	n/a	yes	Maryville, TN	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 18, 2017	Aug 28, 2020	no	KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|LENOIR CITY, TN\|LENOIR CITY, TN\|LOUDON, TN\|MADISONVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|SEVIERVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|SAN DIEGO, CA\|ALCOA, TN\|OAK RIDGE, TN\|MARYVILLE, TN\|KNOXVILLE, TN\|OAK RIDGE, TN\|OAK RIDGE, TN	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jun 23, 2015	Oct 18, 2017	no	KNOXVILLE, TN\|ALCOA, TN\|OAK RIDGE, TN\|OAK RIDGE, TN\|OAK RIDGE, TN	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	May 3, 2012	Oct 1, 2013	no	KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 11, 2011	Jun 24, 2015	no	FARRAGUT, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|LENOIR CITY, TN\|LOUDON, TN\|MADISONVILLE, TN\|MARYVILLE, TN\|MARYVILLE, TN\|MARYVILLE, TN\|NIOTA, TN\|ALCOA, TN\|ATHENS, TN\|KNOXVILLE, TN	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Apr 8, 2009	Oct 11, 2011	no	KNOXVILLE, TN\|ATHENS, TN\|MARYVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|ALCOA, TN\|MARYVILLE, TN\|MARYVILLE, TN\|NIOTA, TN\|MADISONVILLE, TN\|LOUDON, TN\|LENOIR CITY, TN\|FARRAGUT, TN	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jan 24, 2008	Jun 30, 2008	no	KNOXVILLE, TN	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Sep 20, 2006	Nov 30, 2007	no	KNOXVILLE, TN\|KNOXVILLE, TN	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	Aug 28, 2020	Mar 21, 2024	1,301	Firm change after gap	Ibd to ibd
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Oct 18, 2017	Oct 18, 2017	0	Firm change	Other
LPL FINANCIAL LLC	STRATOS WEALTH PARTNERS, LTD	Jun 24, 2015	May 3, 2012	-1,147	Firm change after gap	Other
STRATOS WEALTH PARTNERS, LTD	INVEST FINANCIAL CORPORATION	Oct 1, 2013	Jun 23, 2015	630	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Oct 11, 2011	Oct 11, 2011	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	UVEST FINANCIAL SERVICES GROUP, INC.	Jun 30, 2008	Apr 8, 2009	282	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	MORGAN STANLEY & CO. LLC	Nov 30, 2007	Jan 24, 2008	55	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
12984:6413:TN:2017-10-18	Oct 18, 2017	Oct 18, 2017	OAK RIDGE, TN	Firm change
6413:153184:TN:2015-06-23	Jun 24, 2015	May 3, 2012	KNOXVILLE, TN	Firm change after gap

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 18, 2017 to Aug 28, 2020factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jun 23, 2015 to Oct 18, 2017factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
May 3, 2012 to Oct 1, 2013factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Apr 8, 2009 to Oct 11, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jan 24, 2008 to Jun 30, 2008factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 20, 2006 to Nov 30, 2007factForm ADV

Dated events

No dated event names this entity yet.