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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Michael James Halloran

Advisor at CETERA INVESTMENT ADVISERS LLC

STURBRIDGE, MA

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Search this name across graphsid dfx:ria:ca328a0d-4286-ec5b-5ca9-741584063940

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2017 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: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 9, 2016
First registration: Sep 27, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 6816784

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 18, 2024	n/a	yes	STURBRIDGE, MA	Current employment
MERCER GLOBAL ADVISORS INC.	Independent wealth	Oct 8, 2019	Apr 5, 2022	no	DENVER, CO	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Nov 8, 2018	Jul 31, 2019	no	BOSTON, MA\|BOSTON, MA	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Sep 27, 2017	Nov 8, 2018	no	Boston, MA\|BOSTON, MA	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
MERCER GLOBAL ADVISORS INC.	CETERA INVESTMENT ADVISERS LLC	Apr 5, 2022	Apr 18, 2024	744	Firm change after gap	RIA to ibd
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	MERCER GLOBAL ADVISORS INC.	Jul 31, 2019	Oct 8, 2019	69	Firm change	Other
MANULIFE INVESTMENT MANAGEMENT (US) LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Nov 8, 2018	Nov 8, 2018	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 18, 2024 to presentfactForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviserregistration: previous registration
Oct 8, 2019 to Apr 5, 2022factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 8, 2018 to Jul 31, 2019factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Sep 27, 2017 to Nov 8, 2018factForm ADV

Dated events

Occurred
Apr 5, 2022
Advisor changed firm
Michael James Halloran left Mercer Global Advisors Inc. for Cetera Investment Advisers Llc (registered 2024-04-18)
Form ADVobserved 6 days ago