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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

JOHN ARIOLA

Advisor at CETERA INVESTMENT ADVISERS LLC

WILLIAMSVILLE, NY

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Search this name across graphsid dfx:ria:ec30b228-4dc1-10b1-a67f-658b61f2cb67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2006 to Sep 14, 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 10, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 10, 1991
First registration: Jul 19, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 2143300

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	Sep 5, 2025	n/a	yes	WILLIAMSVILLE, NY	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	May 3, 2024	Sep 5, 2025	no	East Amherst, NY\|DALLAS, TX\|Williamsville, NY	Previous registration
OSAIC FA, INC.	Former SEC adviser	Dec 11, 2017	May 6, 2024	no	WILLIAMSVILLE, NY\|WILLIAMSVILLE, NY\|WILLIAMSVILLE, NY\|WILLIAMSVILLE, NY\|EAST AMHERST, NY	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Jan 15, 2016	Dec 8, 2017	no	WILLIAMSVILLE, NY	Previous registration
EXODUS WEALTH, LLC	Independent wealth	Feb 24, 2015	Feb 5, 2016	no	FORT LAUDERDALE, FL	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Sep 14, 2010	May 16, 2013	no	LOCKPORT, NY\|AMHERST, NY	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jul 31, 2007	Sep 9, 2010	no	AMHERST, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 19, 2006	Mar 14, 2007	no	BUFFALO, NY	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	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
OSAIC FA, INC.	AVANTAX ADVISORY SERVICES	May 6, 2024	May 3, 2024	-3	Firm change	Ibd to ibd
SII INVESTMENTS, INC.	OSAIC FA, INC.	Dec 8, 2017	Dec 11, 2017	3	Firm change	Other
EXODUS WEALTH, LLC	SII INVESTMENTS, INC.	Feb 5, 2016	Jan 15, 2016	-21	Firm change	Other
CADARET GRANT & CO INC	EXODUS WEALTH, LLC	May 16, 2013	Feb 24, 2015	649	Firm change after gap	Other
SUMMIT FINANCIAL GROUP INC	CADARET GRANT & CO INC	Sep 9, 2010	Sep 14, 2010	5	Firm change	Other
HSBC SECURITIES (USA) INC.	SUMMIT FINANCIAL GROUP INC	Mar 14, 2007	Jul 31, 2007	139	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
3978:104556:NY:2024-05-06	May 6, 2024	May 3, 2024	EAST AMHERST, NY	Firm change
2225:3978:NY:2017-12-08	Dec 8, 2017	Dec 11, 2017	WILLIAMSVILLE, NY	Firm change

Relationships

Registered with (8)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
May 3, 2024 to Sep 5, 2025factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Dec 11, 2017 to May 6, 2024factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 15, 2016 to Dec 8, 2017factForm ADV
→ EXODUS WEALTH, LLCRegistered adviserregistration: previous registration
Feb 24, 2015 to Feb 5, 2016factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Sep 14, 2010 to May 16, 2013factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jul 31, 2007 to Sep 9, 2010factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 19, 2006 to Mar 14, 2007factForm ADV

Dated events

Occurred
May 6, 2024
Advisor changed firm
John Ariola left Osaic Fa, Inc. for Avantax Advisory Services (registered 2024-05-03)
Form ADVobserved 5 days ago