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Advisor at CETERA INVESTMENT ADVISERS LLC
BATON ROUGE, LA
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 | Aug 30, 2024 | n/a | yes | BATON ROUGE, LA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 3, 2023 | Aug 22, 2024 | no | BATON ROUGE, LA | Previous registration |
| CONCOURSE FINANCIAL GROUP ADVISORS | Former SEC adviser | Aug 23, 2022 | Oct 21, 2022 | no | Baton Rouge, LA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CETERA INVESTMENT ADVISERS LLC | Aug 22, 2024 | Aug 30, 2024 | 8 | Firm change | Wirehouse to ibd |
| CONCOURSE FINANCIAL GROUP ADVISORS | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 21, 2022 | Apr 3, 2023 | 164 | Firm change | Ibd to wirehouse |