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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MARCOS GUILLERMO UBINAS

Advisor at CETERA INVESTMENT ADVISERS LLC

FORT LAUDERDALE, FL

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Search this name across graphsid dfx:ria:fde6e820-a326-9959-8161-3d35c5af60eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 7, 2003 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: May 2, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 2, 2003
First registration: May 7, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4452665

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	Jun 4, 2021	n/a	yes	FORT LAUDERDALE, FL	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Nov 12, 2020	Jun 1, 2021	no	West Palm Beach, FL	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Oct 28, 2016	Jun 5, 2020	no	Aventura, FL\|MIAMI, FL\|Aventura, FL\|AVENTURA, FL\|NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 14, 2016	no	BOCA RATON, FL\|VERO BEACH, FL\|BOCA RATON, FL\|BOYNTON BEACH, FL\|VERO BEACH, FL\|TEQUESTA, FL\|STUART, FL\|PORT ST. LUCIE, FL\|PORT ST LUCIE, FL\|PORT ST LUCIE, FL\|PORT ST LUCIE, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PALM BEACH, FL\|LAKE WORTH, FL\|JUPITER, FL\|JENSEN BEACH, FL\|JUPITER, FL\|DELRAY BEACH, FL\|FORT PIERCE, FL\|DELRAY BEACH, FL\|DEERFIELD BEACH, FL\|BOYNTON BEACH, FL\|BOYNTON BEACH, FL\|BOYNTON BEACH, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|CORAL SPRINGS, FL\|POMPANO BEACH, FL\|GREENACRES, FL\|LAKE WORTH, FL\|LANTANA, FL\|Greenacres, FL\|LAKE WORTH, FL\|TAMARAC, FL\|WEST PALM BEACH, FL\|WELLINGTON, FL\|LAKE WORTH, FL\|TAMARAC, FL\|CORAL SPRINGS, FL\|ROYAL PALM BEACH, FL\|POMPANO BEACH, FL\|POMPANO BEACH, FL\|WEST PALM BEACH, FL\|COCONUT CREEK, FL\|POMPANO BEACH, FL\|WEST PALM BEACH, FL\|PALM BEACH GARDENS, FL\|WEST PALM BEACH, FL\|LAKE WORTH, FL\|WEST PALM BEACH, FL\|WEST PALM BEACH, FL\|LAKE PARK, FL\|WEST PALM BEACH, FL\|DELRAY BEACH, FL\|DEERFIELD BEACH, FL\|WEST PALM BEACH, FL\|CORAL SPRINGS, FL\|WEST PALM BEACH, FL\|OAKLAND PARK, FL\|COCONUT CREEK, FL\|BOCA RATON, FL\|CORAL SPRINGS, FL\|PLANTATION, FL\|BOCA RATON, FL\|PALM BEACH, FL\|DELRAY BEACH, FL\|PLANTATION, FL\|FORT LAUDERDALE, FL\|TAMARAC, FL\|WEST PALM BEACH, FL\|VILLAGE OF GOLF, FL\|DELRAY BEACH, FL\|Fort Lauderdale, FL\|LAUDERDALE LAKES, FL\|NORTH LAUDERDALE, FL\|BOYNTON BEACH, FL\|DELRAY BEACH, FL\|BOCA RATON, FL\|Wellington, FL\|SUNRISE, FL\|Boca Raton, FL\|Boca Raton, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 31, 2009	Oct 1, 2012	no	POMPANO BEACH, FL\|CORAL SPRINGS, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|BOYNTON BEACH, FL\|BOYNTON BEACH, FL\|BOYNTON BEACH, FL\|DEERFIELD BEACH, FL\|DELRAY BEACH, FL\|FORT PIERCE, FL\|DELRAY BEACH, FL\|JUPITER, FL\|JENSEN BEACH, FL\|JUPITER, FL\|LAKE WORTH, FL\|PALM BEACH, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PORT ST LUCIE, FL\|PORT ST LUCIE, FL\|PORT ST LUCIE, FL\|PORT ST. LUCIE, FL\|STUART, FL\|TEQUESTA, FL\|VERO BEACH, FL\|BOYNTON BEACH, FL\|BOCA RATON, FL\|VERO BEACH, FL\|BOCA RATON, FL\|DELRAY BEACH, FL\|PEMBROKE PINES, FL\|WESTON, FL\|WESTON, FL\|PLANTATION, FL\|CORAL SPRINGS, FL\|BOCA RATON, FL\|BOCA RATON, FL\|COCONUT CREEK, FL\|OAKLAND PARK, FL\|WEST PALM BEACH, FL\|CORAL SPRINGS, FL\|WEST PALM BEACH, FL\|DEERFIELD BEACH, FL\|DELRAY BEACH, FL\|WEST PALM BEACH, FL\|LAKE PARK, FL\|WEST PALM BEACH, FL\|WEST PALM BEACH, FL\|LAKE WORTH, FL\|WEST PALM BEACH, FL\|PALM BEACH GARDENS, FL\|WEST PALM BEACH, FL\|POMPANO BEACH, FL\|COCONUT CREEK, FL\|WEST PALM BEACH, FL\|POMPANO BEACH, FL\|POMPANO BEACH, FL\|ROYAL PALM BEACH, FL\|CORAL SPRINGS, FL\|TAMARAC, FL\|LAKE WORTH, FL\|WELLINGTON, FL\|WEST PALM BEACH, FL\|TAMARAC, FL\|LAKE WORTH, FL\|LAKE WORTH, FL\|LANTANA, FL\|LAKE WORTH, FL\|GREENACRES, FL\|DAVIE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 30, 2006	Aug 4, 2009	no	Ft Lauderdale, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	May 7, 2003	Aug 29, 2005	no	HALLANDALE, FL	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
PRUCO SECURITIES, LLC	CETERA INVESTMENT ADVISERS LLC	Jun 1, 2021	Jun 4, 2021	3	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	PRUCO SECURITIES, LLC	Jun 5, 2020	Nov 12, 2020	160	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	HSBC SECURITIES (USA) INC.	Oct 14, 2016	Oct 28, 2016	14	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CHASE INVESTMENT SERVICES CORP.	Aug 4, 2009	Aug 31, 2009	27	Firm change	Other
MORGAN STANLEY DW INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 29, 2005	Jan 30, 2006	154	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 4, 2021 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to Jun 1, 2021factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Oct 28, 2016 to Jun 5, 2020factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Oct 14, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 31, 2009 to Oct 1, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 30, 2006 to Aug 4, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 7, 2003 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.