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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Joshua Daniel Cloke

Advisor at CETERA INVESTMENT ADVISERS LLC

HILLSBORO, OR | EUGENE, OR | BEND, OR

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Search this name across graphsid dfx:ria:cc3f9e49-2fe0-09fb-4dca-cd9d9b487e3a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 1, 2012 to Sep 15, 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: May 31, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 31, 2012
First registration: Jun 1, 2012
Dual registered: yes, broker-dealer
Other names: Josh Cloke|Joshua D Cloke
IAPD individual key: 5598727

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	Sep 5, 2025	n/a	yes	EUGENE, OR\|BEND, OR\|HILLSBORO, OR	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jul 11, 2025	Sep 5, 2025	no	Hillsboro, OR\|Eugene, OR\|DALLAS, TX\|Bend, OR	Previous registration
ROEHL & YI INVESTMENT ADVISORS, LLC	Independent wealth	Mar 10, 2021	Jul 1, 2025	no	EUGENE, OR	Previous registration
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	Apr 19, 2016	Mar 31, 2021	no	Burlington, IA\|Leaburg, OR\|TAMPA, FL\|Eugene, OR\|Blue River, OR	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jun 1, 2012	Apr 29, 2016	no	BURLINGTON, IA\|BURLINGTON, IA\|BURLINGTON, IA\|BURLINGTON, IA	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
ROEHL & YI INVESTMENT ADVISORS, LLC	AVANTAX ADVISORY SERVICES	Jul 1, 2025	Jul 11, 2025	10	Firm change	RIA to ibd
J. W. COLE ADVISORS, INC.	ROEHL & YI INVESTMENT ADVISORS, LLC	Mar 31, 2021	Mar 10, 2021	-21	Firm change	RIA to RIA
INVEST FINANCIAL CORPORATION	J. W. COLE ADVISORS, INC.	Apr 29, 2016	Apr 19, 2016	-10	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
12984:112294:IA:2016-04-26	Apr 29, 2016	Apr 19, 2016	BURLINGTON, IA	Firm change

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jul 11, 2025 to Sep 5, 2025factForm ADV
→ ROEHL & YI INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 10, 2021 to Jul 1, 2025factForm ADV
→ J. W. COLE ADVISORS, INC.Registered adviserregistration: previous registration
Apr 19, 2016 to Mar 31, 2021factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jun 1, 2012 to Apr 29, 2016factForm ADV

Dated events

Occurred
Jul 1, 2025
Advisor changed firm
Joshua Daniel Cloke left Roehl & Yi Investment Advisors, Llc for Avantax Advisory Services (registered 2025-07-11)
Form ADVobserved 5 days ago