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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

GREGORY S BERLIN

Advisor at CETERA INVESTMENT ADVISERS LLC

Mayfield, OH

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Search this name across graphsid dfx:ria:c1894133-c5ab-bb7f-6a81-f94070c19201

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 30, 2001 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 2, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Dec 2, 1999
First registration: Apr 30, 2001
Dual registered: yes, broker-dealer
Other names: GREG BERLIN
IAPD individual key: 3269482

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	Jul 2, 2025	n/a	yes	Mayfield, OH	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 18, 2022	Jul 10, 2025	no	Mayfield Heights, OH	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Mar 1, 2007	Dec 31, 2022	no	Mayfield Heights, OH	Previous registration
CAPITAL SECURITIES OF AMERICA, INC.	n/a	Nov 22, 2005	Mar 1, 2007	no	MAYFIELD HEIGHTS, OH	Previous registration
ADVEST, INC.	n/a	Apr 30, 2001	Nov 22, 2005	no	BEACHWOOD, 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
B. RILEY WEALTH ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Jul 10, 2025	Jul 2, 2025	-8	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Aug 18, 2022	-135	Bulk transfer	Ibd to ibd
CAPITAL SECURITIES OF AMERICA, INC.	B RILEY WEALTH MANAGEMENT	Mar 1, 2007	Mar 1, 2007	0	Firm change	Other
ADVEST, INC.	CAPITAL SECURITIES OF AMERICA, INC.	Nov 22, 2005	Nov 22, 2005	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
115927:105644:OH:2025-07-10	Jul 10, 2025	Jul 2, 2025	MAYFIELD HEIGHTS, OH	Firm change

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jul 2, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 18, 2022 to Jul 10, 2025factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 1, 2007 to Dec 31, 2022factForm ADV
→ CAPITAL SECURITIES OF AMERICA, INC.Registered adviserregistration: previous registration
Nov 22, 2005 to Mar 1, 2007factForm ADV
→ ADVEST, INC.Registered adviserregistration: previous registration
Apr 30, 2001 to Nov 22, 2005factForm ADV

Dated events

Occurred
Jul 10, 2025
Advisor changed firm
Gregory S Berlin left B. Riley Wealth Advisors, Inc. for Cetera Investment Advisers Llc (registered 2025-07-02)
Form ADVobserved 6 days ago