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Advisor at CETERA INVESTMENT ADVISERS LLC
DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Feb 19, 2025 | n/a | yes | DALLAS, TX | Current employment |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Apr 17, 2018 | Feb 4, 2025 | no | IRVING, TX|DALLAS, TX | Previous registration |
| BOK FINANCIAL ADVISORS | Bd affiliated wealth | Mar 6, 2008 | Mar 12, 2018 | no | SHERMAN, TX|Plano, TX|MCKINNEY, TX|Allen, TX|Dallas, TX|Plano, TX|DALLAS, TX|RICHARDSON, TX|Plano, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | CETERA INVESTMENT ADVISERS LLC | Feb 4, 2025 | Feb 19, 2025 | 15 | Firm change | Other |
| BOK FINANCIAL ADVISORS | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Mar 12, 2018 | Apr 17, 2018 | 36 | Firm change | Other |