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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

DUANE J HALEY

Advisor at CETERA INVESTMENT ADVISERS LLC

Carmel, IN

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Search this name across graphsid dfx:ria:c7d306a9-ff89-bccf-4edb-b0b8c515668c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 7, 2008 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: Jan 4, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 4, 2008
First registration: Jan 7, 2008
Dual registered: yes, broker-dealer
Other names: DUKE HALEY|DUANE J HALEY|DUANE HALEY
IAPD individual key: 5409368

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	Apr 21, 2025	n/a	yes	Carmel, IN	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Sep 1, 2016	Apr 22, 2025	no	Indianapolis, IN\|Indianapolis, IN\|Carmel, IN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 9, 2011	Sep 6, 2016	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Oct 23, 2009	Sep 12, 2011	no	INDIANAPOLIS, IN	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	May 30, 2008	Oct 22, 2009	no	INDIANAPOLIS, IN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 7, 2008	May 8, 2008	no	INDIANAPOLIS, IN	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Apr 22, 2025	Apr 21, 2025	-1	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 6, 2016	Sep 1, 2016	-5	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	WELLS FARGO ADVISORS	Sep 12, 2011	Sep 9, 2011	-3	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	NEW ENGLAND SECURITIES CORPORATION	Oct 22, 2009	Oct 23, 2009	1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STIFEL, NICOLAUS & COMPANY, INCORPORATED	May 8, 2008	May 30, 2008	22	Firm change	Wirehouse to ibd

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 21, 2025 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Sep 1, 2016 to Apr 22, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 9, 2011 to Sep 6, 2016factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Oct 23, 2009 to Sep 12, 2011factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
May 30, 2008 to Oct 22, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 7, 2008 to May 8, 2008factForm ADV

Dated events

Occurred
Apr 22, 2025
Advisor changed firm
Duane J Haley left Cambridge Investment Research Advisors, Inc. for Cetera Investment Advisers Llc (registered 2025-04-21)
Form ADVobserved 6 days ago