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 |
|---|---|---|---|---|---|
| Zachary Alan Fiandt | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2021 | Dec 4, 2023 (795 d) |
| Alton R Pardue | Cetera Investment Advisers LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2021 | Oct 14, 2021 |
| Brandon K Kepley | Cetera Investment Advisers LLC BD affiliated | Securian Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2021 | Oct 21, 2021 |
| Marcus Wesley Fryar | Cetera Investment Advisers LLC BD affiliated | Fryar Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 22, 2021 | Sep 23, 2021 |
| Andrew Samori | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2021 | Nov 30, 2021 (74 d) |
| Tracy Hope Harlow | Cetera Investment Advisers LLC BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2021 | Sep 21, 2021 |
| Paula L Sheffield | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2021 | Sep 21, 2021 |
| Levi Cyphers | Cetera Investment Advisers LLC BD affiliated | Legacy Financial unclassified | Other | Sep 15, 2021 | Sep 9, 2021 |
| Todd Michael Donofrio | Cetera Investment Advisers LLC BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2021 | Sep 15, 2021 |
| John Surace | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2021 | Sep 10, 2021 |
| Harvinder S Sahni | Cetera Investment Advisers LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2021 | Oct 9, 2021 |
| Anna C Malone | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2021 | Sep 21, 2021 |
| Barry Mitchell Kay | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2021 | Sep 8, 2021 |
| Richard Jude Auteri | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2021 | Sep 13, 2021 |
| Diane Elizabeth Dibraccio | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2021 | Sep 8, 2021 |
| Loren Lamar Purvis | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 7, 2021 |
| Robert L Arroyo | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 8, 2021 |
| Benjamin James Blum | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2021 | Sep 1, 2021 |
| Jeffrey Paul Benda | Cetera Investment Advisers LLC BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2021 | Sep 2, 2021 |
| Ruel Lamberto Cabarles | Cetera Investment Advisers LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2021 | Jun 26, 2023 (664 d) |
| Colin Thomas Krafft | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2021 | Aug 17, 2021 |
| Jeremy Lee White | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Aug 18, 2021 |
| Lane C. Stamper | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 18, 2021 | Sep 17, 2021 |
| Jason Gray Anderson | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 12, 2021 | Sep 8, 2021 |
| Tsunghsin Chen | Cetera Investment Advisers LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2021 | Sep 30, 2021 (51 d) |
| Robert Joseph Shull | Cetera Investment Advisers LLC BD affiliated | Emerge Capital Management asset manager | Other | Aug 9, 2021 | Apr 15, 2022 (249 d) |
| Schanice Lanae' Staples | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 5, 2021 | Sep 14, 2021 (40 d) |
| Casey William Nelson | Cetera Investment Advisers LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2021 | Mar 4, 2022 (213 d) |
| Carter Y Hansard | Cetera Investment Advisers LLC BD affiliated | Barnett & Co Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2021 | Oct 4, 2021 (62 d) |
| Bruce Scott Lubatkin | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2021 | Aug 2, 2021 |
| Anne Brady Ramirez | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2021 | Jul 30, 2021 |
| Rosemary Carolina Abreu | Cetera Investment Advisers LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2021 | Sep 23, 2021 (55 d) |
| Mark A Stockard | Cetera Investment Advisers LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Sep 27, 2021 (66 d) |
| Lucas Alan Jacobson | Cetera Investment Advisers LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2021 | Oct 8, 2021 (78 d) |
| Jamie Suzanne Staggs | Cetera Investment Advisers LLC BD affiliated | Lifestyle Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2021 | Jul 21, 2021 |
| Kelly Powers | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2021 | Jul 16, 2021 |
| Ryan Woolford Swayze | Cetera Investment Advisers LLC BD affiliated | Bellingrath Wealth Management, L.L.C. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 14, 2021 | Jul 24, 2025 (1471 d) |
| Francisco Ruben Rodriguez | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2021 | Aug 16, 2021 (33 d) |
| Kate Mbonu | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2021 | Aug 10, 2021 (32 d) |
| Jaime Luis Diaz | Cetera Investment Advisers LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2021 | Aug 8, 2021 (32 d) |
| Keith James Broussard | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2021 | Jul 2, 2021 |
| Tina Louise Wells Lee | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2021 | Jun 28, 2021 |
| Howard I Mortenson | Cetera Investment Advisers LLC BD affiliated | Sigfig Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2021 | Oct 1, 2021 (99 d) |
| Bradley Alan Mentzer | Cetera Investment Advisers LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2021 | Jun 23, 2021 |
| Richard Tom Kaczor | Cetera Investment Advisers LLC BD affiliated | Retirement Plan Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2021 | Sep 20, 2021 (89 d) |
| Elizabeth Han | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 17, 2021 | Sep 15, 2022 (455 d) |
| David Thomas Robinson | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2021 | Jul 2, 2021 |
| Mark Calvin Gillelen | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2021 | Jun 14, 2021 |
| Lauren Connor Sagan | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2021 | Jan 1, 2025 (1297 d) |
| Brandon Bierk | Cetera Investment Advisers LLC BD affiliated | Euro Pacific Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2021 | Aug 2, 2021 (49 d) |
| Christina Marie Pease | Cetera Investment Advisers LLC BD affiliated | Stratos Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2021 | Aug 3, 2021 (55 d) |
| Justin David Bradford | Cetera Investment Advisers LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Jun 8, 2021 |
| Kristen Tharp | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 4, 2021 | Sep 21, 2021 (109 d) |
| Timothy Mcdermott | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2021 | Jul 27, 2021 (53 d) |
| Gage Michael Schneeberger | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 2, 2021 | Aug 10, 2021 (69 d) |
| Kelly Gannon | Cetera Investment Advisers LLC BD affiliated | James River Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2021 | Jan 12, 2023 (590 d) |
| Gregory Philip Boshart | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2021 | Jun 4, 2021 |
| Kimberly Rachel Miller | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2021 | May 28, 2021 |
| Alireza Kandi | Cetera Investment Advisers LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 25, 2021 | Jul 29, 2021 (65 d) |
| Robert Frank Notarfrancesco | Cetera Investment Advisers LLC BD affiliated | People'S United Advisors, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 24, 2021 | May 26, 2021 |