DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Mildred Patubo
Feed of 09/14/2026
Also filed as Mildred Patubo
At current firm
3 y
since Oct 18, 2022
In the industry
22 y
since May 10, 2004 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Oct 18, 2022 · San Jose, Ca
- Mutual Of Omaha Investor Services, Inc. independent RIAJun 23, 2021 to Oct 19, 2022 · Pleasant Hill, Ca
- Secure Investment Management, LLC independent RIAFeb 4, 2020 to May 12, 2021 · Pinole, Ca
- Citigroup Global Markets Inc. BD affiliatedDec 23, 2015 to Feb 22, 2019 · San Antonio, Tx
- Wells Fargo Advisors wirehouseJun 16, 2011 to Jan 4, 2016 · Corte Madera, Ca
- Bancwest Investment Services, Inc. (Bwis) formerJun 29, 2010 to Jun 22, 2011 · Larkspur, Ca
- LPL Financial LLC BD affiliatedAug 20, 2008 to Jun 29, 2010 · San Jose, Ca
- Wells Fargo Investments, LLC unclassifiedSep 27, 2007 to Jul 15, 2008 · Castro Valley, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 10, 2004 to Jun 4, 2007 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- Mutual Of Omaha Investor Services, Inc. to Cetera Investment Advisers LLCleft Oct 19, 2022, registered Oct 18, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- Secure Investment Management, LLC to Mutual Of Omaha Investor Services, Inc.left May 12, 2021, registered Jun 23, 2021 (42 days) · Other
- Citigroup Global Markets Inc. to Secure Investment Management, LLCleft Feb 22, 2019, registered Feb 4, 2020 (347 days) · Affiliated broker-dealer or bank to independent RIA
- Wells Fargo Advisors to Citigroup Global Markets Inc.left Jan 4, 2016, registered Dec 23, 2015 (-12 days) · Other
- Bancwest Investment Services, Inc. (Bwis) to Wells Fargo Advisorsleft Jun 22, 2011, registered Jun 16, 2011 (-6 days) · Other
- LPL Financial LLC to Bancwest Investment Services, Inc. (Bwis)left Jun 29, 2010, registered Jun 29, 2010 (0 days) · Other
- Wells Fargo Investments, LLC to LPL Financial LLCleft Jul 15, 2008, registered Aug 20, 2008 (36 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Investments, LLCleft Jun 4, 2007, registered Sep 27, 2007 (115 days) · Other
Signals
- Mildred Patubo left Mutual Of Omaha Investor Services, Inc. for Cetera Investment Advisers Llc (registered 2022-10-18)Oct 19, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address