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.

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

Jan 27, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

6

Current registrations

1

Registered states

1

Exams

S66

First exam

Jan 27, 2010

First registration

Jan 28, 2010

Dual registered

yes, broker-dealer

Other names

SIMON K CHAN

IAPD individual key

5653210

• Occurred

  Aug 8, 2025
  Advisor changed firm

  Simon K Chan left Insight Securities, Inc. for Cetera Investment Advisers Llc (registered 2025-07-08)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:fd68b35b-e625-acc0-fff8-799f490e8393

First observed

Jan 28, 2010

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.