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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

MICHAEL STEPHEN GORICHANAZ

Advisor at CETERA INVESTMENT ADVISERS LLC

CORPUS CHRISTI, TX | RACINE, WI

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Search this name across graphsid dfx:ria:c3e0d900-eccc-db91-7e46-878c23b1489a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 13, 1995 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: Jul 5, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 5, 1991
First registration: Jul 13, 1995
Dual registered: yes, broker-dealer
Other names: MIKE GORICHANAZ
IAPD individual key: 2154828

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	CORPUS CHRISTI, TX\|RACINE, WI\|RACINE, WI	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Sep 16, 2022	Sep 5, 2025	no	RACINE, WI\|Corpus Christi, TX\|DALLAS, TX\|RACINE, WI	Previous registration
HARBOUR INVESTMENTS, INC.	Independent wealth	Jul 31, 2009	Sep 20, 2022	no	RACINE, WI\|RACINE, WI\|MADISON, WI	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	Jun 23, 2003	Jul 31, 2009	no	BROOKFIELD, WI\|RACINE, WI	Previous registration
FFP ADVISORY SERVICES INC	n/a	Jul 13, 1995	Sep 12, 2002	no	BROOKFIELD, WI	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
HARBOUR INVESTMENTS, INC.	AVANTAX ADVISORY SERVICES	Sep 20, 2022	Sep 16, 2022	-4	Firm change	RIA to ibd
WATERSTONE FINANCIAL GROUP, INC.	HARBOUR INVESTMENTS, INC.	Jul 31, 2009	Jul 31, 2009	0	Firm change	Other
FFP ADVISORY SERVICES INC	WATERSTONE FINANCIAL GROUP, INC.	Sep 12, 2002	Jun 23, 2003	284	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Sep 16, 2022 to Sep 5, 2025factForm ADV
→ HARBOUR INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 31, 2009 to Sep 20, 2022factForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jun 23, 2003 to Jul 31, 2009factForm ADV
→ FFP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jul 13, 1995 to Sep 12, 2002factForm ADV

Dated events

Occurred
Sep 20, 2022
Advisor changed firm
Michael Stephen Gorichanaz left Harbour Investments, Inc. for Avantax Advisory Services (registered 2022-09-16)
Form ADVobserved 5 days ago