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Advisor at CETERA INVESTMENT ADVISERS LLC
ALBUQUERQUE, NM | Santa Fe, NM | SANTA FE, NM
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 | Jun 29, 2023 | n/a | yes | SANTA FE, NM|ALBUQUERQUE, NM|Santa Fe, NM | Current employment |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Aug 16, 2013 | May 8, 2017 | no | CHARLOTTE, NC|Brown Summit, NC|WAVERLY, IA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Sep 5, 2012 | Jan 4, 2013 | no | CHARLOTTE, NC | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | May 16, 2011 | Jul 2, 2012 | no | Phoenix, AZ | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Jun 11, 2010 | Apr 25, 2011 | no | NEWPORT BEACH, CA | Previous registration |
| CETERA ADVISORS LLC | Former SEC adviser | Jun 11, 2009 | Sep 28, 2009 | no | LAS VEGAS, NV | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Oct 5, 2007 | Apr 3, 2009 | no | MINNEAPOLIS, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUNA BROKERAGE SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | May 8, 2017 | Jun 29, 2023 | 2,243 | Firm change after gap | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | CUNA BROKERAGE SERVICES, INC. | Jan 4, 2013 | Aug 16, 2013 | 224 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | AMERIPRISE FINANCIAL SERVICES, LLC | Jul 2, 2012 | Sep 5, 2012 | 65 | Firm change | Ibd to ibd |
| MML INVESTORS SERVICES, LLC | CHARLES SCHWAB & CO., INC. | Apr 25, 2011 | May 16, 2011 | 21 | Firm change | Other |
| CETERA ADVISORS LLC | MML INVESTORS SERVICES, LLC | Sep 28, 2009 | Jun 11, 2010 | 256 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | CETERA ADVISORS LLC | Apr 3, 2009 | Jun 11, 2009 | 69 | Firm change | Other |