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Advisor at CETERA INVESTMENT ADVISERS LLC
FRANKLIN, TN
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 | Feb 20, 2025 | n/a | yes | FRANKLIN, TN | Current employment |
| CONCOURSE FINANCIAL GROUP ADVISORS | Former SEC adviser | Aug 31, 2017 | Feb 20, 2025 | no | BRENTWOOD, TN|Birmingham, AL|Brentwood, TN|Franklin, TN|BIRMINGHAM, AL | Previous registration |
| INDEPENDENT ADVISERS GROUP CORP | Former SEC adviser | Jun 21, 2004 | Dec 22, 2016 | no | BRENTWOOD, TN | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | Jan 28, 2004 | Sep 13, 2017 | no | BRENTWOOD, TN|BRENTWOOD, TN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CONCOURSE FINANCIAL GROUP ADVISORS | CETERA INVESTMENT ADVISERS LLC | Feb 20, 2025 | Feb 20, 2025 | 0 | Bulk transfer | Ibd to ibd |
| OSAIC FS, INC. | INDEPENDENT ADVISERS GROUP CORP | Sep 13, 2017 | Jun 21, 2004 | -4,832 | Firm change after gap | Other |
| INDEPENDENT ADVISERS GROUP CORP | CONCOURSE FINANCIAL GROUP ADVISORS | Dec 22, 2016 | Aug 31, 2017 | 252 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 3870:106684:TN:2017-09-13 | Sep 13, 2017 | Jun 21, 2004 | BRENTWOOD, TN | Firm change after gap |