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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

DALE E HOHLBAUGH

Advisor at CETERA INVESTMENT ADVISERS LLC

NORTH CANTON, OH

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Search this name across graphsid dfx:ria:be02a312-dc84-9d96-e673-4059de6f1d50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 19, 1999 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: Apr 19, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 19, 1984
First registration: Jul 19, 1999
Dual registered: yes, broker-dealer
Other names: DALE EDWARD HOHLAUGH
IAPD individual key: 1259920

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	Nov 12, 2020	n/a	yes	NORTH CANTON, OH	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	NORTH CANTON, OH	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jun 1, 2009	Jul 2, 2012	no	SAN DIEGO, CA\|NORTH CANTON, OH\|SAN DIEGO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 21, 2004	May 28, 2009	no	FAIRLAWN, OH\|AKRON, OH	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 19, 1999	Jan 22, 2004	no	CANTON, OH	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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	FIRST ALLIED SECURITIES, INC.	May 28, 2009	Jun 1, 2009	4	Firm change	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Jan 22, 2004	Jan 21, 2004	-1	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jun 1, 2009 to Jul 2, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 21, 2004 to May 28, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 19, 1999 to Jan 22, 2004factForm ADV

Dated events

No dated event names this entity yet.