DFX Intelligence
Advisor moves
Departures from Cetera Investment Advisers LLC
A 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Ismael Garcia | Cetera Investment Advisers LLC BD affiliated | Garcia Financial Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 18, 2025 | Nov 13, 2025 |
| Nicole Renee Wagner | Cetera Investment Advisers LLC BD affiliated | Asset One Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2025 | Dec 26, 2025 (38 d) |
| Juan A Guerrero | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 17, 2025 | Nov 18, 2025 |
| William Jeremiah Sauers | Cetera Investment Advisers LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2025 | Nov 14, 2025 |
| Matthew Strough | Cetera Investment Advisers LLC BD affiliated | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2025 | Nov 12, 2025 |
| Erin Ann Fleming Mccloskey | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2025 | Jun 9, 2026 (209 d) |
| Keith Edward Condemi | Cetera Investment Advisers LLC BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2025 | Nov 3, 2025 |
| John Anthony Mundell | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2025 | Nov 6, 2025 |
| Ian K Foo | Cetera Investment Advisers LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2025 | Nov 17, 2025 |
| Parker Sanderson | Cetera Investment Advisers LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Nov 11, 2025 | Nov 18, 2025 |
| Kameron Charles Richter | Cetera Investment Advisers LLC BD affiliated | Valtinson Bruner Financial Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2025 | Jan 7, 2026 (58 d) |
| Michelle Denise Defilippo | Cetera Investment Advisers LLC BD affiliated | Moneco Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2025 | Jan 20, 2026 (74 d) |
| Michael Depaola | Cetera Investment Advisers LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Nov 6, 2025 |
| Shyam Bhatia | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 7, 2025 | Dec 11, 2025 (34 d) |
| Vincent Dallo | Cetera Investment Advisers LLC BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2025 | Nov 4, 2025 |
| Joshua Kampbell | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2025 | Nov 3, 2025 |
| Colby Porter Hatch | Cetera Investment Advisers LLC BD affiliated | Leges Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 6, 2025 | Jan 1, 2026 (56 d) |
| Shelly Sypien | Cetera Investment Advisers LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 5, 2025 | Nov 3, 2025 |
| Brandon James Butler | Cetera Investment Advisers LLC BD affiliated | Belpointe Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2025 | May 8, 2026 (184 d) |
| David Vincent Menegus | Cetera Investment Advisers LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Nov 5, 2025 |
| Robert Normand Richard | Cetera Investment Advisers LLC BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Nov 4, 2025 |
| David Alexander Arthur Dupuis | Cetera Investment Advisers LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | May 7, 2025 |
| Bruce Alan Mazo | Cetera Investment Advisers LLC BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2025 | Nov 5, 2025 |
| Casey James Griffin | Cetera Investment Advisers LLC BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2025 | Nov 11, 2025 |
| Jonathan Andrew Brummel | Cetera Investment Advisers LLC BD affiliated | Sentara Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2025 | Nov 13, 2025 |
| Patrick De Tolla | Cetera Investment Advisers LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2025 | Jan 16, 2026 (74 d) |
| Kevin Dean Hemme | Cetera Investment Advisers LLC BD affiliated | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2025 | Jan 3, 2025 |
| John Martin Lensing | Cetera Investment Advisers LLC BD affiliated | Crest Private Wealth, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 29, 2025 | Dec 4, 2025 (36 d) |
| Nicholas Freeman Sheppard | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2025 | Oct 24, 2025 |
| Timothy Daniel Mattern | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2025 | Oct 23, 2025 |
| Adam Johnson | Cetera Investment Advisers LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2025 | Oct 29, 2025 |
| Jeanne E Morelli | Cetera Investment Advisers LLC BD affiliated | Dkcb Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 28, 2025 | Mar 19, 2026 (142 d) |
| Keith Fetzer | Cetera Investment Advisers LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2025 | Nov 4, 2025 |
| Monica Zwipf | Cetera Investment Advisers LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Oct 27, 2025 | Dec 3, 2025 (37 d) |
| Robert Cardon Merrill | Cetera Investment Advisers LLC BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2025 | Oct 20, 2025 |
| Alexander Joseph Cavaliere | Cetera Investment Advisers LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2025 | Dec 22, 2025 (59 d) |
| Keval Deepak Nagda | Cetera Investment Advisers LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2025 | Nov 21, 2025 |
| Erin E Yake | Cetera Investment Advisers LLC BD affiliated | Sound Income Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2025 | Nov 6, 2025 |
| Henry James Zhai | Cetera Investment Advisers LLC BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2025 | Oct 22, 2025 |
| Reed Patrick Romo | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 10, 2025 |
| Meghan Elizabeth Bright | Cetera Investment Advisers LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 30, 2025 |
| Changxin Qiao | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 20, 2025 | Dec 3, 2025 (44 d) |
| Patricia A Gomes | Cetera Investment Advisers LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2025 | Nov 6, 2025 |
| Stedman Alexander Strickland | Cetera Investment Advisers LLC BD affiliated | Waverly Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 20, 2025 | Oct 23, 2025 |
| Taylor Joseph Foster | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Dec 4, 2025 (49 d) |
| Henry Hunter Deakins | Cetera Investment Advisers LLC BD affiliated | Lord, Abbett & Co. LLC asset manager | Other | Oct 16, 2025 | Dec 2, 2025 (47 d) |
| Peter Louis Vescovi | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 14, 2025 |
| Jason Philip Weier | Cetera Investment Advisers LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 13, 2025 |
| Shennoah Miller | Cetera Investment Advisers LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 30, 2025 |
| Tyler Prescott Parham | Cetera Investment Advisers LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 16, 2025 |
| Kimberly Jo Cooper | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2025 | Sep 15, 2025 |
| Sean Patrick Kelleher | Cetera Investment Advisers LLC BD affiliated | Towerpoint Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2025 | Oct 17, 2025 |
| Phillip Livio Faso | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 10, 2025 | Oct 1, 2025 |
| Darren Carter Kinsey | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Jan 6, 2026 (89 d) |
| Behzad Baharloo | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 9, 2025 | Nov 24, 2025 (46 d) |
| Glen Paul Hemann | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Sep 30, 2025 |
| Matthew Kelly Logan | Cetera Investment Advisers LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Oct 7, 2025 |
| Cynthia Ilise Chilkuri | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Oct 7, 2025 |
| Tayler Honeycutt | Cetera Investment Advisers LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Oct 7, 2025 |
| Keegan Menning | Cetera Investment Advisers LLC BD affiliated | Thrivent Advisor Network, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2025 | Dec 23, 2025 (76 d) |
3,021 moves match.