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Advisor at CETERA INVESTMENT ADVISERS LLC
INDIANAPOLIS, IN | FISHERS, IN
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 | Nov 12, 2020 | n/a | yes | INDIANAPOLIS, IN|FISHERS, IN | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Oct 18, 2012 | Nov 12, 2020 | no | INDIANAPOLIS, IN | Previous registration |
| OGILVIE SECURITY ADVISORS CORP | Former SEC adviser | Nov 1, 2002 | Oct 24, 2012 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN|CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | Nov 12, 2020 | Nov 12, 2020 | 0 | Bulk transfer | Ibd to ibd |
| OGILVIE SECURITY ADVISORS CORP | FIRST ALLIED ADVISORY SERVICES, INC. | Oct 24, 2012 | Oct 18, 2012 | -6 | Firm change | Other |