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 |
|---|---|---|---|---|---|
| Nicholas Pierson | Cetera Investment Advisers LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2024 | Aug 23, 2024 (80 d) |
| Martha D Osborne | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | Jul 11, 2024 (41 d) |
| Vince Jones | Cetera Investment Advisers LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | Oct 23, 2024 (145 d) |
| Brian John Hacker | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2024 | Jun 14, 2024 |
| Song Bo Shim | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2024 | May 30, 2024 |
| Michelle Grant | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2024 | Jul 10, 2024 (43 d) |
| Ashley L Rowell | Cetera Investment Advisers LLC BD affiliated | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | May 29, 2024 |
| Benjamin Weinberger | Cetera Investment Advisers LLC BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | May 29, 2024 |
| Blake Edward Leffingwell | Cetera Investment Advisers LLC BD affiliated | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | Jun 7, 2024 |
| Jared Edward Newman | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2024 | Aug 6, 2024 (76 d) |
| Michael John Violette | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 22, 2024 | Feb 12, 2025 (266 d) |
| Patrick Lee Kulzer | Cetera Investment Advisers LLC BD affiliated | Gradient Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Mar 5, 2025 (288 d) |
| Colby Lance Kaluzniak | Cetera Investment Advisers LLC BD affiliated | Acumen Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2024 | May 29, 2024 |
| David Alan Riggle | Cetera Investment Advisers LLC BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2024 | May 13, 2024 |
| Garrett Frost | Cetera Investment Advisers LLC BD affiliated | Geneos Wealth Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2024 | Jun 3, 2024 |
| Jodi Lee Vawdrey | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | May 13, 2024 |
| Andrew K Johnson | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 16, 2024 | May 24, 2024 |
| Joshua Richard Brandon Griep | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 16, 2024 | May 6, 2024 |
| Gary Dwayne Meeks | Cetera Investment Advisers LLC BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2024 | May 1, 2024 |
| James Neil Henry | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2024 | Aug 23, 2024 (100 d) |
| Jonathan Allen Hart | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2024 | Jul 17, 2024 (63 d) |
| Thomas Hanna | Cetera Investment Advisers LLC BD affiliated | Farther independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2024 | May 14, 2024 |
| Salvatore John Dangelo | Cetera Investment Advisers LLC BD affiliated | Fourth Dimension Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 10, 2024 | Apr 30, 2024 |
| Erik Dustin Shotwell | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | May 13, 2024 |
| Desteni Lynn Lawhorn | Cetera Investment Advisers LLC BD affiliated | Alera Investment Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 10, 2024 | Aug 15, 2025 (462 d) |
| Mark Andrew Mchenry | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | Jun 7, 2024 |
| Noah Kingston | Cetera Investment Advisers LLC BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | May 16, 2024 |
| Nicholas Hofmann | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 9, 2024 | Jun 21, 2024 (43 d) |
| Robert Scott Wright | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2024 | May 9, 2024 |
| Michael Shawn Tivnan | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | Sep 6, 2024 (122 d) |
| Timothy Vernon Swartley | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | May 1, 2024 |
| Sidney Jason Ruth | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | May 1, 2024 |
| Travis Rene Lemonte | Cetera Investment Advisers LLC BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 7, 2024 | May 17, 2024 |
| Brock Hewitt | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | May 1, 2024 |
| David Barry Steiner | Cetera Investment Advisers LLC BD affiliated | Purple Dog Investments LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 6, 2024 | Jan 30, 2025 (269 d) |
| Jeffrey Burgess | Cetera Investment Advisers LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2024 | Dec 2, 2025 (575 d) |
| Efrem D Jackson | Cetera Investment Advisers LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2024 | Sep 6, 2024 (123 d) |
| Roderick R Jefferson | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | Aug 2, 2024 (91 d) |
| Darryl Robert Carter | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 1, 2024 |
| Lance Parsons Dumas | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 2, 2024 |
| Andrew Mo | Cetera Investment Advisers LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Aug 14, 2024 (104 d) |
| Frederick William Cutter | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2024 | Apr 24, 2024 |
| Phillip Matthew Furlong | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2024 | Jul 9, 2024 (69 d) |
| Robert Stafford | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2024 | Jun 4, 2024 (34 d) |
| Dennis Jacob Hein | Cetera Investment Advisers LLC BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | May 9, 2024 |
| Jason Michael Poschinger | Cetera Investment Advisers LLC BD affiliated | 4wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2024 | Jan 7, 2026 (622 d) |
| Thomas Brian Bennett | Cetera Investment Advisers LLC BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2024 | May 17, 2024 |
| Scott Marshall Steele | Cetera Investment Advisers LLC BD affiliated | Hennion & Walsh Asset Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Jan 29, 2025 (281 d) |
| Tejaswi Suresh Patel | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Apr 18, 2024 |
| Andrew Harrison | Cetera Investment Advisers LLC BD affiliated | Key Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2024 | May 20, 2024 |
| Gregory Jay Seppanen | Cetera Investment Advisers LLC BD affiliated | Simplified Financial Partners state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 18, 2024 | Jun 18, 2024 (61 d) |
| George Dylan Phipps | Cetera Investment Advisers LLC BD affiliated | Raleigh Capital Management Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 | Jul 4, 2024 (77 d) |
| Cynthia Ann Galloway | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2024 | May 1, 2024 |
| Wheeler Douglas Pulliam | Cetera Investment Advisers LLC BD affiliated | Xponify, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 15, 2024 | Apr 12, 2024 |
| Amy Jo Shelby | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2024 | Apr 16, 2024 |
| Chaundra Kay Straker | Cetera Investment Advisers LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2024 | Mar 13, 2025 (336 d) |
| Mary Beth Norris | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 9, 2024 | Apr 18, 2024 |
| Frank Xiaohuan Fang | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 9, 2024 | Jul 5, 2024 (87 d) |
| Colin Patrick Mcgraw | Cetera Investment Advisers LLC BD affiliated | Householder Group Estate & Retirement Specialists independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2024 | Apr 18, 2024 |
| Sean Toohey | Cetera Investment Advisers LLC BD affiliated | Alpine Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2024 | Jun 6, 2024 (58 d) |