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

Lori Whittingham Derby

Advisor at CETERA INVESTMENT ADVISERS LLC

Evergreen Park, IL | ORLAND PARK, IL | Chicago, IL | MONEE, IL | Oak Brook, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e1613551-6faa-cc1f-019d-543aee3dfa01

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2014 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: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65|S66
First exam: Feb 5, 2014
First registration: Feb 7, 2014
Dual registered: yes, broker-dealer
Other names: LORI ANN MATEJKA|LORI ANN WHITTINGHAM|LORI ANN WHITTINGHAM-DERBY
IAPD individual key: 6092042

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	Mar 21, 2024	n/a	yes	Evergreen Park, IL\|ORLAND PARK, IL\|Oak Brook, IL\|Chicago, IL\|MONEE, IL\|MONEE, IL	Current employment
OPUS WEALTH MANAGEMENT GROUP	Former SEC adviser	Apr 29, 2016	Mar 4, 2019	no	Orland Park, IL	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Feb 7, 2014	May 2, 2016	no	ORLAND PARK, IL	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
OPUS WEALTH MANAGEMENT GROUP	CETERA INVESTMENT ADVISERS LLC	Mar 4, 2019	Mar 21, 2024	1,844	Firm change after gap	RIA to ibd
FSC SECURITIES CORPORATION	OPUS WEALTH MANAGEMENT GROUP	May 2, 2016	Apr 29, 2016	-3	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
176525:105644:IL:2019-03-04	Mar 4, 2019	Mar 21, 2024	ORLAND PARK, IL	Firm change after gap
7461:176525:IL:2016-05-02	May 2, 2016	Apr 29, 2016	ORLAND PARK, IL	Firm change

Relationships

Registered with (3)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ OPUS WEALTH MANAGEMENT GROUPRegistered adviserregistration: previous registration
Apr 29, 2016 to Mar 4, 2019factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 7, 2014 to May 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1613551-6faa-cc1f-019d-543aee3dfa01
First observed: Feb 7, 2014
Last observed: Sep 15, 2026 5 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.

Lori Whittingham Derby

Advisor at CETERA INVESTMENT ADVISERS LLC

Evergreen Park, IL | ORLAND PARK, IL | Chicago, IL | MONEE, IL | Oak Brook, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e1613551-6faa-cc1f-019d-543aee3dfa01

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

CETERA INVESTMENT ADVISERS LLC

Bd affiliated wealth

Mar 21, 2024

n/a

yes

Current employment

OPUS WEALTH MANAGEMENT GROUP

Former SEC adviser

Apr 29, 2016

Mar 4, 2019

Orland Park, IL

Previous registration

FSC SECURITIES CORPORATION

Former SEC adviser

Feb 7, 2014

May 2, 2016

ORLAND PARK, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

OPUS WEALTH MANAGEMENT GROUP

CETERA INVESTMENT ADVISERS LLC

Mar 4, 2019

Mar 21, 2024

1,844

Firm change after gap

RIA to ibd

FSC SECURITIES CORPORATION

OPUS WEALTH MANAGEMENT GROUP

May 2, 2016

Apr 29, 2016

-3

Firm change

Other

Team

Left

Joined

From

Kind

176525:105644:IL:2019-03-04

Mar 4, 2019

Mar 21, 2024

ORLAND PARK, IL

Firm change after gap

7461:176525:IL:2016-05-02

May 2, 2016

Apr 29, 2016

ORLAND PARK, IL

Firm change