David J. Prushan
Professional summary
David Joseph Prushan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Franklin Lakes, New Jersey and CETERA ADVISORS LLC located in Franklin Lakes, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Prushan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
September 8, 2022 - Present
CETERA ADVISORS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 7, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
August 26, 1999 - June 13, 2005
ROUND HILL SECURITIES, INC.
June 17, 1997 - September 7, 1999
THE KEY GROUP INC.
January 10, 1994 - June 16, 1997
UBS FINANCIAL SERVICES INC.
December 11, 1990 - January 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1988 - January 7, 1991
LEHMAN BROTHERS INC.
September 9, 1987 - March 7, 1988
E. F. HUTTON & COMPANY INC
June 13, 1984 - September 18, 1987
ALL-VEST SECURITIES, INC.
December 8, 1983 - February 2, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
April 19, 1983 - May 19, 1983
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(7/10/2025)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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