DFX Intelligence
Advisor moves
Departures from Cetera Advisors LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Sandra Lee Hay Magdaleno | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2020 | Sep 5, 2019 |
| Paul Raymond Erenfeld | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2020 | Aug 27, 2019 |
| Jeremiah Anthony Beam | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC no RAUM | Other | Feb 11, 2020 | Apr 9, 2018 |
| Joseph A Medina | Cetera Advisors LLC BD affiliated | Nfsg Corporation BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2020 | Apr 24, 2020 (77 d) |
| Jonathan Isaac Petersen | Cetera Advisors LLC BD affiliated | Onyx Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2020 | Aug 17, 2020 (192 d) |
| Lucinda Lynn Richey | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Other | Jan 6, 2020 | Sep 6, 2018 |
| Jeffrey D Smith | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Dec 31, 2019 | Jan 24, 2017 |
| Sharon Ifrach | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC no RAUM | Other | Dec 31, 2019 | Jan 24, 2017 |
| David James Peckham | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2019 | Dec 5, 2019 |
| Carrie Boliek Letsinger | Cetera Advisors LLC BD affiliated | Synergy Investment Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 26, 2019 | Aug 28, 2025 (2072 d) |
| Jimmy Ray Nash | Cetera Advisors LLC BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2019 | Dec 17, 2019 |
| Christopher Wayne Bordner | Cetera Advisors LLC BD affiliated | Synergy Investment Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2019 | Jan 1, 2025 (1835 d) |
| Loretta Michelle Miller | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2019 | Dec 5, 2019 |
| Jimmy Dale Greene | Cetera Advisors LLC BD affiliated | Synergy Investment Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 19, 2019 | Sep 18, 2025 (2100 d) |
| Russell Earl Slack | Cetera Advisors LLC BD affiliated | Cg Advisory Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2019 | Dec 9, 2019 |
| Richard Warren Flecca | Cetera Advisors LLC BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2019 | Dec 6, 2019 |
| Thomas Theodore Gerardi | Cetera Advisors LLC BD affiliated | Synergy Investment Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2019 | Aug 29, 2025 (2087 d) |
| Theresa Anne Pohlman | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2019 | Dec 9, 2019 |
| Jeremy Scott Mocek | Cetera Advisors LLC BD affiliated | Academy Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2019 | Dec 16, 2019 |
| Randall Bernard Richardson | Cetera Advisors LLC BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2019 | Nov 4, 2019 |
| Roger Kent Ratliff | Cetera Advisors LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Dec 2, 2019 |
| Charles R. Sterling | Cetera Advisors LLC BD affiliated | Deafinvest state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 11, 2019 | Jul 15, 2020 (247 d) |
| Theodore John Heuchling | Cetera Advisors LLC BD affiliated | Portfolio Logix, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 7, 2019 | Nov 4, 2019 |
| Kevin Bernard Richardson | Cetera Advisors LLC BD affiliated | Pelican Investment Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 7, 2019 | Jun 22, 2021 (593 d) |
| Frederick Scott Lowe | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Oct 21, 2019 |
| Patrick Alan Brown | Cetera Advisors LLC BD affiliated | Edmonds Duncan Registered Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2019 | Oct 3, 2019 |
| Peter Charles Lynch | Cetera Advisors LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 9, 2019 | Oct 15, 2019 |
| Rachel Jane Hallowell | Cetera Advisors LLC BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2019 | Oct 22, 2019 |
| Reno J. Reser | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2019 | Sep 13, 2019 |
| Richard Scott Bonner | Cetera Advisors LLC BD affiliated | M. E. Allison & Co., Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2019 | Sep 10, 2019 |
| Christopher T Van Tassell | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2019 | Sep 18, 2019 |
| Aaron L. Cruz | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2019 | Sep 16, 2019 |
| David Wayne Matthews | Cetera Advisors LLC BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2019 | Aug 29, 2019 |
| Michael Glen Nielson | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2019 | Aug 15, 2019 |
| Bryan Nielson | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2019 | Aug 15, 2019 |
| Andrew Hung Nguyen | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2019 | Mar 13, 2019 |
| Ian K Foo | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2019 | Mar 22, 2019 |
| David Vigil | Cetera Advisors LLC BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2019 | Aug 2, 2022 (1078 d) |
| Dwight Glenn O'Hara | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2019 | Aug 1, 2019 |
| Brian T Spatola | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2019 | Aug 9, 2019 |
| Dirk Gregory Degroot | Cetera Advisors LLC BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2019 | Aug 9, 2019 |
| James Edward Bell | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Aug 5, 2019 |
| Gerald Joseph Fasanella | Cetera Advisors LLC BD affiliated | Heron Equity Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 7, 2019 | Feb 22, 2022 (930 d) |
| Adam Wayne Fliehman | Cetera Advisors LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2019 | Jul 19, 2019 |
| Matthew James Seigfreid | Cetera Advisors LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2019 | Aug 7, 2019 |
| Nicholas Ian Holmes | Cetera Advisors LLC BD affiliated | Intellicents Investment Solutions Inc institutional | Other | Jul 19, 2019 | Jul 17, 2019 |
| Clint Joseph Eikmeier | Cetera Advisors LLC BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2019 | Jul 22, 2019 |
| Timothy Mark Ingalls | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2019 | Jul 25, 2019 |
| William John Rolser | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2019 | Jul 12, 2019 |
| Mark Alan Haenny | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2019 | Jul 11, 2019 |
| Tristan Shawn Bliesner | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2019 | Jul 12, 2019 |
| Brent Bernard Gottier | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2019 | Jul 10, 2019 |
| James Richard Crocker | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2019 | Jun 5, 2018 |
| Llewellyn Raymond Hayes | Cetera Advisors LLC BD affiliated | Park Avenue Wealth Management, LLC no RAUM | Other | Jul 2, 2019 | Oct 23, 2018 |
| Justin Peter Mclaughlin | Cetera Advisors LLC BD affiliated | Stratos Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 18, 2019 | May 14, 2019 |
| Justin Michael Owens | Cetera Advisors LLC BD affiliated | Ofg Advisors LLC unclassified | Other | Jun 14, 2019 | Jul 19, 2016 |
| David Michael Becker | Cetera Advisors LLC BD affiliated | Keystone Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2019 | Jun 4, 2019 |
| Michael Gerard Santoro | Cetera Advisors LLC BD affiliated | Clout Inc. Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 31, 2019 | Jun 20, 2019 |
| Trent Arthur Yost | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 28, 2019 |
| John Hyrum Koyle | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 28, 2019 |
910 moves match.