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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

WILLIAM W RESPESS

Advisor at CETERA INVESTMENT ADVISERS LLC

Summerland Key, FL

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Search this name across graphsid dfx:ria:b4a62272-652c-e10a-9f03-f5f3b3b684f2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2008 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: Dec 1, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 1, 2008
First registration: Dec 9, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5583759

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 20, 2026	n/a	yes	Summerland Key, FL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2025	Sep 11, 2026	no	SUMMERLAND KEY, FL	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Sep 2, 2011	Jul 10, 2025	no	SUMMERLAND KEY, FL\|HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 9, 2008	Sep 8, 2011	no	WELLESLEY HILLS, MA\|NEW YORK, NY\|BATON ROUGE, LA	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 20, 2026	-22	Bulk transfer	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEXT FINANCIAL GROUP, INC.	Sep 8, 2011	Sep 2, 2011	-6	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 20, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 10, 2025 to Sep 11, 2026factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 2, 2011 to Jul 10, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 9, 2008 to Sep 8, 2011factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
William W Respess left LPL Financial LLC for Cetera Investment Advisers LLC (registered 2026-08-20)
Form ADVobserved 4 days ago