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

Carlton Anthony Buckley

Advisor at CETERA INVESTMENT ADVISERS LLC

Heathrow, FL

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Search this name across graphsid dfx:ria:cbfbf1db-53c6-4231-d572-0c01e1acf0cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2007 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: Nov 6, 2007earliest 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: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 6, 2007
First registration: Nov 8, 2007
Dual registered: yes, broker-dealer
Other names: CURTIS ANTHONY BUCKLEY|CARLTON A BUCKLEY|CARLTON A BUCKLEY|CURTIS A BUCKLEY|CARLTON ANTHONY BUCKLEY
IAPD individual key: 5359562

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	Feb 6, 2025	n/a	yes	Heathrow, FL	Current employment
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Jul 3, 2018	Feb 21, 2025	no	Heathrow, FL\|LONGWOOD, FL\|BIRMINGHAM, AL	Previous registration
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	Former SEC adviser	Nov 8, 2013	Jul 3, 2018	no	WINTER PARK, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 8, 2007	Nov 5, 2013	no	ORLANDO, FL\|LAKE MARY, FL	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
CONCOURSE FINANCIAL GROUP ADVISORS	CETERA INVESTMENT ADVISERS LLC	Feb 21, 2025	Feb 6, 2025	-15	Bulk transfer	Ibd to ibd
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	CONCOURSE FINANCIAL GROUP ADVISORS	Jul 3, 2018	Jul 3, 2018	0	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	Nov 5, 2013	Nov 8, 2013	3	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Feb 6, 2025 to presentfactForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Jul 3, 2018 to Feb 21, 2025factForm ADV
→ CAPITAL GUARDIAN WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 8, 2013 to Jul 3, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 8, 2007 to Nov 5, 2013factForm ADV

Dated events

No dated event names this entity yet.