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Advisor at CETERA INVESTMENT ADVISERS LLC
HAMDEN, CT
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 | HAMDEN, CT | Current employment |
| SPECTRUM FINANCIAL STRATEGIES INC | Former SEC adviser | Jul 10, 1995 | n/a | yes | HAMDEN, CT | Current employment |
| SUMMIT FINANCIAL GROUP INC | Former SEC adviser | Sep 17, 2012 | May 20, 2021 | no | HAMDEN, CT | Previous registration |
| DOMINARI SECURITIES LLC | Independent wealth | Jan 24, 2002 | Oct 4, 2012 | no | HAMDEN, CT | 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 |
| DOMINARI SECURITIES LLC | SUMMIT FINANCIAL GROUP INC | Oct 4, 2012 | Sep 17, 2012 | -17 | Firm change | Other |