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Advisor at CETERA INVESTMENT ADVISERS LLC
St. Peters, MO | EL SEGUNDO, CA
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 |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Nov 21, 2024 | n/a | yes | EL SEGUNDO, CA|St. Peters, MO | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jun 25, 2012 | Nov 12, 2020 | no | SAN DIEGO, CA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | Jan 4, 2010 | Mar 23, 2018 | no | SAN DIEGO, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 14, 2006 | Dec 3, 2009 | no | ESCONDIDO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | Nov 12, 2020 | Nov 21, 2024 | 1,470 | Bulk transfer | Ibd to ibd |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Mar 23, 2018 | Jun 25, 2012 | -2,097 | Channel change | Other |
| LPL FINANCIAL LLC | FIRST ALLIED SECURITIES, INC. | Dec 3, 2009 | Jan 4, 2010 | 32 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 32444:137888:CA:2018-03-23 | Mar 23, 2018 | Jun 25, 2012 | SAN DIEGO, CA | Firm change after gap |