DFX Intelligence
Advisor moves
Departures from Cetera Investment Advisers LLCWhat a move isA 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.
3,023 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Timothy Paul Miller | Cetera Investment Advisers LLC BD affiliated | Org Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2024 | Aug 7, 2024 |
| Robin Lynn Tucker | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 24, 2024 |
| William Walter Spero | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 23, 2024 |
| Kerrie Lynn Morris | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 23, 2024 |
| Dave Keith Hutchison | Cetera Investment Advisers LLC BD affiliated | Hutchison Investment Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 23, 2024 | Mar 5, 2026 (590 d) |
| Scott Vincent Kaup | Cetera Investment Advisers LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2024 | Jul 19, 2024 |
| Benjamin Joseph Kaup | Cetera Investment Advisers LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2024 | Jul 24, 2024 |
| Maria Lynn Sandoz | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Sep 5, 2024 (48 d) |
| Jordan Fowler | Cetera Investment Advisers LLC BD affiliated | Avantax Planning Partners, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Jul 3, 2024 |
| Andrew Michel Denis | Cetera Investment Advisers LLC BD affiliated | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | Jul 11, 2024 |
| Matthew Lynn Boyles | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | Jul 10, 2024 |
| Holly Crystal Brauer | Cetera Investment Advisers LLC BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | May 15, 2026 (673 d) |
| Chad Don Carlos | Cetera Investment Advisers LLC BD affiliated | Iams Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 11, 2024 | Jul 15, 2024 |
| David Faith | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | Jul 10, 2024 |
| Kyle Wayne Hensley | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2024 | Jul 10, 2024 |
| Tessa Coleman | Cetera Investment Advisers LLC BD affiliated | Mutual Of Omaha Investor Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2024 | Sep 25, 2024 (77 d) |
| Parker Fowler Adam | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2024 | Jul 12, 2024 |
| Nancy Lynne Daniel | Cetera Investment Advisers LLC BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2024 | Jul 8, 2024 |
| Robert Craig Spears | Cetera Investment Advisers LLC BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2024 | Jul 16, 2024 |
| Scott Peter Mullady | Cetera Investment Advisers LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2024 | Oct 18, 2024 (105 d) |
| Margarete Alves | Cetera Investment Advisers LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 5, 2024 | Jun 27, 2024 |
| Zachary James Weirich | Cetera Investment Advisers LLC BD affiliated | Fermata Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 3, 2024 | Jul 1, 2024 |
| Paul Kuleska | Cetera Investment Advisers LLC BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Sep 18, 2024 (77 d) |
| Robert Thomas Lamb | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2024 | Jun 28, 2024 |
| Anthony Kinzie | Cetera Investment Advisers LLC BD affiliated | Blue Bear Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2024 | Jan 9, 2025 (191 d) |
| Jacob Edward Gingell | Cetera Investment Advisers LLC BD affiliated | Royal Oak Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2024 | Jul 4, 2024 |
| Scott Ashley Rucki | Cetera Investment Advisers LLC BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2024 | Aug 12, 2024 (42 d) |
| Christopher C Hull | Cetera Investment Advisers LLC BD affiliated | Creative Financial Designs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2024 | Jul 2, 2024 |
| Jordan Steven Bromley | Cetera Investment Advisers LLC BD affiliated | Prosperity Wealth Planning LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2024 | Jul 30, 2024 (32 d) |
| Clare Elizabeth Sheridan | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 27, 2024 |
| Marianne Watson | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 27, 2024 |
| Linda Jean Lee | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2024 | Jun 27, 2024 |
| William W Councill | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Jun 24, 2024 |
| Andrew L Duckworth | Cetera Investment Advisers LLC BD affiliated | Prostatis Financial Advisors Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 25, 2024 | Jul 23, 2024 |
| Nicholas Robert Guidos | Cetera Investment Advisers LLC BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Sep 18, 2025 (450 d) |
| Charles H Deakins | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 24, 2024 | Aug 8, 2024 (45 d) |
| Cheng Luo | Cetera Investment Advisers LLC BD affiliated | Hhl Wealth Advisors Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 21, 2024 | Jul 5, 2024 |
| Chan Hyun Lim | Cetera Investment Advisers LLC BD affiliated | Centric Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2024 | Jun 20, 2024 |
| Gregory Peter Brick | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2024 | Jan 1, 2025 (197 d) |
| Ashley W Folkes | Cetera Investment Advisers LLC BD affiliated | Farther independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2024 | Jun 21, 2024 |
| Robyn Renza Lazaro | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Aug 2, 2024 (49 d) |
| Jacob Luther | Cetera Investment Advisers LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Jun 21, 2024 |
| Michael Jon Brown | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Jun 14, 2024 |
| Lawrence Calvert Mcausland | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2024 | Jun 12, 2024 |
| Daniel Oliver Carns | Cetera Investment Advisers LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 13, 2024 | Jun 11, 2024 |
| Jeffrey Dazzo | Cetera Investment Advisers LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2024 | Oct 17, 2024 (126 d) |
| Judith Ann Steele | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Jun 11, 2024 |
| Robert Charles Grow | Cetera Investment Advisers LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2024 | Jun 11, 2024 |
| David Routh | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2024 | Jun 11, 2024 |
| William Nicholas Routh | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2024 | Jun 11, 2024 |
| Kimani Malik Ridley | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 11, 2024 | Jun 9, 2026 (728 d) |
| Timothy Nolan Bearden | Cetera Investment Advisers LLC BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2024 | Jun 6, 2024 |
| Luis Alberto Hernandez | Cetera Investment Advisers LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2024 | Jul 8, 2024 |
| Tami Lee Mendell | Cetera Investment Advisers LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2024 | Jun 11, 2024 |
| Scott Bruce Robison | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 7, 2024 | Jun 12, 2024 |
| Sean Philbin | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2024 | Sep 16, 2024 (101 d) |
| Jason Bradley Keith | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2024 | Jun 25, 2024 |
| Kraig Joseph Cawley | Cetera Investment Advisers LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 5, 2024 | May 31, 2024 |
| Kelly Christine Effland | Cetera Investment Advisers LLC BD affiliated | Municap Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 5, 2024 | Oct 9, 2024 (126 d) |
| Trenton Leffingwell | Cetera Investment Advisers LLC BD affiliated | Titleist Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2024 | May 23, 2024 |