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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

CONSTANCE ANN ETTER

Advisor at CENTENNIAL SECURITIES COMPANY INC

CHICAGO, IL

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Search this name across graphsid dfx:ria:ecfef37a-57e9-3f82-4e57-3555fbc65e06

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 29, 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: CENTENNIAL SECURITIES COMPANY INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 28, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 28, 2006
First registration: Mar 29, 2006
Dual registered: yes, broker-dealer
Other names: CONSTANCE ETTER
IAPD individual key: 5087391

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
CENTENNIAL SECURITIES COMPANY INC	Independent wealth	Nov 15, 2019	n/a	yes	CHICAGO, IL	Current employment
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jul 16, 2013	Dec 9, 2019	no	Chicago, IL	Previous registration
DAVID A. NOYES & COMPANY	Former SEC adviser	Apr 9, 2009	Jul 16, 2013	no	CHICAGO, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 29, 2006	Apr 23, 2009	no	CHICAGO, 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
B RILEY WEALTH MANAGEMENT	CENTENNIAL SECURITIES COMPANY INC	Dec 9, 2019	Nov 15, 2019	-24	Firm change	Ibd to RIA
DAVID A. NOYES & COMPANY	B RILEY WEALTH MANAGEMENT	Jul 16, 2013	Jul 16, 2013	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	DAVID A. NOYES & COMPANY	Apr 23, 2009	Apr 9, 2009	-14	Firm change	Other

Relationships

Registered with (4)

→ CENTENNIAL SECURITIES COMPANY INCRegistered adviserregistration: current employment
Nov 15, 2019 to presentfactForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 16, 2013 to Dec 9, 2019factForm ADV
→ DAVID A. NOYES & COMPANYRegistered adviserregistration: previous registration
Apr 9, 2009 to Jul 16, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 29, 2006 to Apr 23, 2009factForm ADV

Dated events

No dated event names this entity yet.