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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

ERIC MENDELSOHN

Advisor at CETERA INVESTMENT ADVISERS LLC

Stamford, CT | Boca Raton, FL

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Search this name across graphsid dfx:ria:bf47091e-6c6b-a398-2708-3d07167591e4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 12, 2002 to Sep 15, 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: Aug 9, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 9, 2002
First registration: Aug 12, 2002
Dual registered: yes, broker-dealer
Other names: Eric Daniel Mendelsohn|Eric D Mendelsohn
IAPD individual key: 4539392

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	Sep 5, 2025	n/a	yes	Stamford, CT\|Boca Raton, FL	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Oct 1, 2024	Sep 5, 2025	no	Boca Raton, FL\|DALLAS, TX\|Stamford, CT	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 30, 2007	Oct 30, 2024	no	BOCA RATON, FL\|BOCA RATON, FL\|NORWALK, CT\|STAMFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 11, 2005	Aug 21, 2007	no	FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 31, 2002	May 27, 2005	no	FT. LAUDERDALE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 12, 2002	Oct 31, 2002	no	VIENNA, VA	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
B. RILEY WEALTH ADVISORS, INC.	AVANTAX ADVISORY SERVICES	Oct 30, 2024	Oct 1, 2024	-29	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	B. RILEY WEALTH ADVISORS, INC.	Aug 21, 2007	Aug 30, 2007	9	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 27, 2005	May 11, 2005	-16	Firm change	Wirehouse to wirehouse
AMERIPRISE FINANCIAL SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Oct 31, 2002	Oct 31, 2002	0	Firm change	Ibd to wirehouse

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 1, 2024 to Sep 5, 2025factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 30, 2007 to Oct 30, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 11, 2005 to Aug 21, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 31, 2002 to May 27, 2005factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 12, 2002 to Oct 31, 2002factForm ADV

Dated events

Occurred
Oct 30, 2024
Advisor changed firm
Eric Mendelsohn left B. Riley Wealth Advisors, Inc. for Avantax Advisory Services (registered 2024-10-01)
Form ADVobserved 6 days ago