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Advisor at CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ
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 | Jun 29, 2023 | n/a | yes | SCOTTSDALE, AZ|SCOTTSDALE, AZ | Current employment |
| NETVEST FINANCIAL, L.L.C. | State registered | Jul 8, 2015 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| SUMMIT FINANCIAL GROUP INC | Former SEC adviser | Mar 5, 2020 | May 20, 2021 | no | SCOTTSDALE, AZ | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 26, 2013 | Mar 13, 2020 | no | SCOTTSDALE, AZ|SAN DIEGO, CA|SCOTTSDALE, AZ | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Aug 17, 2012 | Oct 1, 2013 | no | SCOTTSDALE, AZ | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 25, 2009 | Sep 11, 2012 | no | SCOTTSDALE, AZ|SAN DIEGO, CA|SCOTTSDALE, AZ | Previous registration |
| CETERA ADVISORS LLC | Former SEC adviser | Aug 13, 2007 | May 19, 2008 | no | GREENWOOD VILLAGE, CO|SCOTTSDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SUMMIT FINANCIAL GROUP INC | CETERA INVESTMENT ADVISERS LLC | May 20, 2021 | Jun 29, 2023 | 770 | Bulk transfer | Ibd to ibd |
| LPL FINANCIAL LLC | NETVEST FINANCIAL, L.L.C. | Mar 13, 2020 | Jul 8, 2015 | -1,710 | Firm change after gap | Ibd to state RIA |
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Oct 1, 2013 | Sep 26, 2013 | -5 | Firm change | Other |
| LPL FINANCIAL LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Sep 11, 2012 | Aug 17, 2012 | -25 | Firm change | Other |
| CETERA ADVISORS LLC | LPL FINANCIAL LLC | May 19, 2008 | Nov 25, 2009 | 555 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:170100:AZ:2020-03-02 | Mar 13, 2020 | Jul 8, 2015 | SCOTTSDALE, AZ | Firm change after gap |