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.

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

Mar 17, 1987earliest registration or exam on IAPD

Years in industry

39derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Mar 17, 1987

First registration

Jun 20, 2002

Dual registered

yes, broker-dealer

Other names

CHRISTOPHER N CAPUTO|CHRISTOPHER NICHOLAS CAPUTO|CHRISTOPHER CAPUTO

IAPD individual key

1389962

• Occurred

  Jun 21, 2022
  Advisor changed firm

  Christopher Nicholas Caputo left B. Riley Wealth Advisors, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bc160ec2-1b18-b4e0-f5b0-6ea6aae090e6

First observed

Jun 20, 2002

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.