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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

Philip James Clark

Advisor at CETERA INVESTMENT ADVISERS LLC

HENRICO, VA | RICHMOND, VA

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Search this name across graphsid dfx:ria:e7a81d12-0d7f-ddf8-1139-b83e4561eab4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 10, 2009 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: Aug 22, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Aug 22, 2006
First registration: Sep 10, 2009
Dual registered: yes, broker-dealer
Other names: PHILIP SAMES CLARK
IAPD individual key: 4214539

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	Oct 30, 2023	n/a	yes	RICHMOND, VA\|HENRICO, VA	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Oct 25, 2019	Nov 3, 2023	no	Pasadena, CA\|Los Angeles, CA\|Palm Harbor, FL\|Woodland Hills, CA	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Apr 4, 2018	Oct 25, 2019	no	PASADENA, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 12, 2018	Apr 5, 2018	no	ST. PETERSBURG, FL\|ST. PETERSBURG, FL	Previous registration
SPC FINANCIAL INC	Former SEC adviser	Jan 14, 2014	Dec 22, 2017	no	ROCKVILLE, MD	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 10, 2009	Jan 14, 2014	no	ST. PETERSBURG, FL	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	Nov 3, 2023	Oct 30, 2023	-4	Firm change	Ibd to ibd
1ST GLOBAL ADVISORS INC	AVANTAX ADVISORY SERVICES	Oct 25, 2019	Oct 25, 2019	0	Bulk transfer	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	1ST GLOBAL ADVISORS INC	Apr 5, 2018	Apr 4, 2018	-1	Firm change	Other
SPC FINANCIAL INC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 22, 2017	Jan 12, 2018	21	Firm change	RIA to ibd
RAYMOND JAMES & ASSOCIATES, INC.	SPC FINANCIAL INC	Jan 14, 2014	Jan 14, 2014	0	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Oct 30, 2023 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 25, 2019 to Nov 3, 2023factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Apr 4, 2018 to Oct 25, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 12, 2018 to Apr 5, 2018factForm ADV
→ SPC FINANCIAL INCRegistered adviserregistration: previous registration
Jan 14, 2014 to Dec 22, 2017factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Sep 10, 2009 to Jan 14, 2014factForm ADV

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
Philip James Clark left Avantax Advisory Services for Cetera Investment Advisers Llc (registered 2023-10-30)
Form ADVobserved 6 days ago