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 |
|---|---|---|---|---|---|
| Kyle J Hallman | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 21, 2021 | May 19, 2021 |
| Sean D Haselrig | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 18, 2021 | Mar 25, 2022 (311 d) |
| Patrick Stephen Mullen | Cetera Investment Advisers LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | May 13, 2021 |
| Nathan Daniel Goad | Cetera Investment Advisers LLC BD affiliated | Alden Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2021 | May 24, 2021 |
| Sotiraq Qirjollari | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | May 17, 2021 |
| Zakaria Fourari | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | May 17, 2021 |
| Ernest E Cunningham | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 17, 2021 | May 26, 2021 |
| Ricardo R Dacosta | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2021 | May 5, 2021 |
| Jessica Joan Haages | Cetera Investment Advisers LLC BD affiliated | Forum Financial Management, LP independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2021 | Mar 16, 2023 (672 d) |
| Rosemary Neidermeyer | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2021 | May 6, 2021 |
| Thomas Michael Phillips | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | May 10, 2021 |
| John P Mccabe | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | Jul 12, 2021 (63 d) |
| Joseph S Zito | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | May 6, 2021 |
| Nicholas C George | Cetera Investment Advisers LLC BD affiliated | Global Retirement Partners LLC institutional | Other | May 5, 2021 | May 21, 2021 |
| Daniel Bradaick | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 3, 2021 |
| Brent L Blaus | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 3, 2021 |
| Robert J Hyde | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 4, 2021 |
| Jay Charles Dias | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 3, 2021 |
| Juan Pablo Montoya | Cetera Investment Advisers LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 20, 2021 |
| Dace Andrew Dekruif | Cetera Investment Advisers LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Jun 25, 2021 (56 d) |
| Amy Ellen Zellner | Cetera Investment Advisers LLC BD affiliated | Sugar Maple Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | May 5, 2021 |
| Bart Reider | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2021 | Jul 24, 2021 (86 d) |
| Yuet Fu Lee | Cetera Investment Advisers LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2021 | Jul 20, 2021 (83 d) |
| Thomas James Noon | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2021 | Jul 20, 2021 (90 d) |
| Scott Edward Breault | Cetera Investment Advisers LLC BD affiliated | Miramontes Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2021 | Feb 6, 2024 (1022 d) |
| Stephen Francis Starzec | Cetera Investment Advisers LLC BD affiliated | Fifth Third Wealth Advisors LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2021 | Aug 19, 2025 (1583 d) |
| Steven A. Schnoke | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2021 | Mar 30, 2023 (710 d) |
| Gregory Hayes Reading | Cetera Investment Advisers LLC BD affiliated | Lane Hipple - Wealth Management Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 13, 2021 | Jun 21, 2021 (69 d) |
| James Mark Bessoni | Cetera Investment Advisers LLC BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Apr 9, 2021 | May 24, 2021 (45 d) |
| Victoria Noreen Taylor | Cetera Investment Advisers LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 9, 2021 | Apr 23, 2021 |
| Jesus Manuel Beltran | Cetera Investment Advisers LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2021 | Apr 27, 2021 |
| Luis Javier Adarve | Cetera Investment Advisers LLC BD affiliated | Bci Securities, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 | Mar 23, 2023 (717 d) |
| Aaron Hare | Cetera Investment Advisers LLC BD affiliated | Scs independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2021 | Apr 7, 2021 |
| Victoria Nenchev | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 25, 2021 | Apr 7, 2021 |
| Frederick Gordon Fram | Cetera Investment Advisers LLC BD affiliated | Davenport & Company LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2021 | Mar 15, 2021 |
| Erin Rebecca Hajdu | Cetera Investment Advisers LLC BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2021 | Jul 21, 2021 (124 d) |
| Thomas Harold Ahlbeck | Cetera Investment Advisers LLC BD affiliated | Ahlbeck Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 18, 2021 | Mar 22, 2021 |
| Wendi-Ann Francis | Cetera Investment Advisers LLC BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | May 4, 2021 (48 d) |
| Richard A Simpson | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2021 | Mar 31, 2021 |
| Alexander Randolph | Cetera Investment Advisers LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2021 | Oct 28, 2021 (230 d) |
| Thomas Christian Hall | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2021 | Mar 10, 2021 |
| Derek John Delaney | Cetera Investment Advisers LLC BD affiliated | Pharmd Financial Planning LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2021 | Feb 22, 2021 |
| Jeremy Niles Loftis | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2021 | Feb 18, 2021 |
| Colette F Knobeloch | Cetera Investment Advisers LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2021 | Feb 12, 2021 |
| Michelle Renae Varner | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 12, 2021 | Feb 10, 2021 |
| Jason Andrew Sweitzer | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 12, 2021 | Feb 12, 2021 |
| Keith Leong | Cetera Investment Advisers LLC BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Feb 11, 2021 | Apr 4, 2021 (52 d) |
| Pamela Calhoun | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2021 | Aug 3, 2021 (176 d) |
| Michael George Horton | Cetera Investment Advisers LLC BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2021 | Feb 8, 2021 |
| Timothy Harlan Borman | Cetera Investment Advisers LLC BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 5, 2021 |
| Aaron J Rigdon | Cetera Investment Advisers LLC BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 5, 2021 |
| Stephen Mitchell Jesse | Cetera Investment Advisers LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2021 | Mar 24, 2021 (49 d) |
| Paul Cooper Harris | Cetera Investment Advisers LLC BD affiliated | Hancock Whitney Investment Services Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2021 | Jan 28, 2021 |
| Charles G Cox | Cetera Investment Advisers LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 28, 2021 | Sep 13, 2022 (593 d) |
| John David Caves | Cetera Investment Advisers LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2021 | Jan 25, 2022 (363 d) |
| Joseph B Scharfbillig | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2021 | Jan 21, 2021 |
| Brian William Neustrom | Cetera Investment Advisers LLC BD affiliated | Parsonex Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2021 | Jan 18, 2021 |
| Jacob Charles Harlan | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 21, 2021 | May 23, 2022 (487 d) |
| Martin J Topol | Cetera Investment Advisers LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 19, 2021 | Feb 1, 2021 |
| Jorge Soriano | Cetera Investment Advisers LLC BD affiliated | Financial Optimist LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 19, 2021 | Feb 5, 2025 (1478 d) |