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.

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

Jul 15, 2011earliest registration or exam on IAPD

Years in industry

15derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S66

First exam

Jul 15, 2011

First registration

Sep 12, 2011

Dual registered

yes, broker-dealer

Other names

EMILY ANN HARVEY

IAPD individual key

5919546

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d4c722f8-0a52-727c-554d-79abfaa94d5a

First observed

Sep 12, 2011

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.