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 |
|---|---|---|---|---|---|
| Felicia Kathryn Fly | Cetera Investment Advisers LLC BD affiliated | Mainsail Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2024 | Feb 22, 2024 |
| Michael Chester Stroud | Cetera Investment Advisers LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2024 | May 15, 2024 (91 d) |
| Nathan Brite | Cetera Investment Advisers LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2024 | Aug 13, 2024 (182 d) |
| Stanley John Nieminski | Cetera Investment Advisers LLC BD affiliated | Fortis Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2024 | Feb 12, 2024 |
| Elzbieta Jarzabek | Cetera Investment Advisers LLC BD affiliated | Fortis Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2024 | May 3, 2024 (84 d) |
| Earl Aksel Pedersen | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2024 | Feb 2, 2024 |
| Ronald John Garutti | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2024 | Feb 2, 2024 |
| Blake Robert Lynch | Cetera Investment Advisers LLC BD affiliated | Wealthplan Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2024 | Apr 25, 2024 (78 d) |
| Jason Richard Newcomb | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2024 | Feb 1, 2024 |
| Jeffrey Bruce Knight | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 1, 2024 |
| Susanne Marie Kullen | Cetera Investment Advisers LLC BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2024 | Feb 6, 2024 |
| Brian Segel | Cetera Investment Advisers LLC BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Jun 17, 2025 (501 d) |
| James Paul Benson | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Brian Gerald Pitell | Cetera Investment Advisers LLC BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Charles Kiernan O'Neill | Cetera Investment Advisers LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Jan 8, 2026 (706 d) |
| George A Balocik | Cetera Investment Advisers LLC BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 2, 2024 |
| David Brady Hunter | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2024 | Feb 1, 2024 |
| Matthew R Maloy | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Aug 31, 2023 |
| Timothy Giampetroni | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Jan 19, 2024 |
| Giselle Marie Sada | Cetera Investment Advisers LLC BD affiliated | Trustmont Advisory Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Nov 15, 2024 (290 d) |
| Jorge Luis Vazquez | Cetera Investment Advisers LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 29, 2024 | Feb 20, 2024 |
| Steven Gerard Wortmann | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2024 | Jan 25, 2024 |
| Justin Leak | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2024 | Feb 21, 2024 |
| Michael Brendan Martin | Cetera Investment Advisers LLC BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2024 | Feb 6, 2024 |
| Michael Dennis Torello | Cetera Investment Advisers LLC BD affiliated | Gateway Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2024 | Jan 12, 2024 |
| Stephen Adam Mazer | Cetera Investment Advisers LLC BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 19, 2024 | Jan 17, 2024 |
| John George Mccarthy | Cetera Investment Advisers LLC BD affiliated | Gallatin Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 19, 2024 | Jan 21, 2024 |
| Jonathan Enoch Copeland | Cetera Investment Advisers LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2024 | Jan 24, 2024 |
| Douglas Harry Chapman | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2024 | Jan 11, 2024 |
| Kimberly Ann Hamlin | Cetera Investment Advisers LLC BD affiliated | Allodium Investment Consultants, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2024 | Dec 13, 2024 (331 d) |
| Jaron Beach | Cetera Investment Advisers LLC BD affiliated | Canter Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2024 | Feb 2, 2024 |
| Michael Bonaccorso | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Jan 11, 2024 |
| Justin Anthony Revak | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Jan 17, 2024 |
| Benjamin Elliott Tannarome | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2024 | Jul 2, 2024 (172 d) |
| Natalie Joy Brent | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jan 5, 2024 |
| Kelly Burger | Cetera Investment Advisers LLC BD affiliated | Vicus Capital, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Jan 17, 2024 |
| Kindra Jean Byerly | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jan 5, 2024 |
| Lana Renee Trofholz | Cetera Investment Advisers LLC BD affiliated | Keystone Financial Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Jan 23, 2024 |
| Jaime Abreu Torres | Cetera Investment Advisers LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 5, 2024 |
| Richard Luke Miller | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 8, 2024 |
| Kevin Glen Ward | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 5, 2024 |
| Alexis Ann Zuccaro | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 5, 2024 |
| Jared Paul Remesz | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 5, 2024 |
| Morgan Callahan Golich | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 12, 2024 |
| Brett Matthew Bollaert | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jan 10, 2024 |
| Joseph John Spinelli | Cetera Investment Advisers LLC BD affiliated | Vision Retirement independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2024 | Nov 19, 2024 (319 d) |
| Catherine Anne Boudreaux | Cetera Investment Advisers LLC BD affiliated | Summit Financial Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2024 | Jan 5, 2024 |
| Kyle Ferguson | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2024 | Jan 11, 2024 |
| Jordon S. Spera | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2024 | Mar 18, 2024 (75 d) |
| Beau Alden Wilson | Cetera Investment Advisers LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2024 | Jan 8, 2024 |
| Tessa Fornek | Cetera Investment Advisers LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2024 | Jan 22, 2024 |
| Robert Michael Koerner | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Dec 15, 2023 |
| Elizabeth Anne Mcelravey | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jul 26, 2023 |
| Pamela Cartwright Eckenrode | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 1, 2025 (367 d) |
| Robert Harold Sowder | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 13, 2023 |
| Kimberley Kasarda Neff | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 1, 2025 (367 d) |
| Jon Wayne Bemis | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 28, 2023 |
| Richard Peter Moran | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 26, 2023 |
| Stephen John Avery | Cetera Investment Advisers LLC BD affiliated | Q3 Advisors, LLC no RAUM | Other | Dec 31, 2023 | May 2, 2024 (123 d) |
| Paul Francis Heising | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 3, 2025 (369 d) |