DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at INCOME ASSOCIATES
BARRINGTON, RI
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 |
|---|---|---|---|---|---|---|
| INCOME ASSOCIATES | State registered | Sep 18, 2024 | n/a | yes | BARRINGTON, RI | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | Sep 18, 2024 | no | WARREN, RI | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | May 20, 2021 | Jun 29, 2023 | no | WARREN, RI | Previous registration |
| SUMMIT FINANCIAL GROUP INC | Former SEC adviser | May 7, 2014 | May 20, 2021 | no | WARREN, RI | Previous registration |
| CAPITOL SECURITIES MANAGEMENT, INC. | Independent wealth | Apr 22, 2004 | May 1, 2014 | no | WARREN, RI|BOSTON, MA|WARREN, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | INCOME ASSOCIATES | Sep 18, 2024 | Sep 18, 2024 | 0 | Firm change | Ibd to state RIA |
| CETERA ADVISOR NETWORKS LLC | CETERA INVESTMENT ADVISERS LLC | Jun 29, 2023 | Jun 29, 2023 | 0 | Bulk transfer | Ibd to ibd |
| SUMMIT FINANCIAL GROUP INC | CETERA ADVISOR NETWORKS LLC | May 20, 2021 | May 20, 2021 | 0 | Channel change | Ibd to ibd |
| CAPITOL SECURITIES MANAGEMENT, INC. | SUMMIT FINANCIAL GROUP INC | May 1, 2014 | May 7, 2014 | 6 | Firm change | Other |