DV
David N. Vasos
CETERA INVESTMENT ADVISERS LLC
MINNEAPOLIS, MN 55414
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CRD#: 1060243
DV
Professional summary
David Nmn Vasos, CFP®, who also goes by David Vasos, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minneapolis, Minnesota and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Vasos
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Officer NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1982 ADDRESS: , St. Paul MN , United States DESCRIPTION: Officer 2) NORTH STAR SCOTT RICHARDS CHARITABLE FOUNDATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2016 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Member 3) NORTH STAR RESOURCE GROUP INSURANCE BROKERAGE SERVICES POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2017 ADDRESS: 2701 University Avenue SE, Minneapolis MN 55414, United States DESCRIPTION: This entity is intended to offer Property and Casualty Insurance to individual and commercial clients. It is owned by North Star Consultants, Inc and will operate as an operating division of North Star. 4) NORTH STAR TAX, LLC POSITION: Director NATURE: Accountant/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2002 ADDRESS: 2701 University Avenue SE, Minneapolis MN 55414, United States DESCRIPTION: Director of North Star entity that provides tax preparation services to North Star clients. 5) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; N ATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Nmn Vasos's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2701 University Ave Se, Minneapolis, MN 55414RIA
CRD#: 105644
MINNEAPOLIS, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
June 2, 2010 - October 28, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNEAPOLIS, MN
Past
June 2, 2010 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNEAPOLIS, MN
Past
June 3, 2003 - September 10, 2008
MARATHON ADVISORS, INC
RIA
CRD#: 113696
MINNEAPOLIS, MN
Past
June 20, 2002 - October 25, 2005
MMLISI FINANCIAL ALLIANCES, LLC
BD
CRD#: 119003
SPRINGFIELD, MA
Past
January 22, 1991 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNEAPOLIS, MN
Past
April 4, 1989 - August 23, 1990
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Past
August 24, 1988 - October 28, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNEAPOLIS, MN
Past
July 13, 1983 - August 23, 1990
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Past
September 24, 1982 - August 16, 1983
IRG SECURITIES, INC.
BD
CRD#: 4182
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(8/10/2023)
RR
Georgia(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Minneapolis, MN 55414TRUST BUT VERIFY
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