David K. Prewette

CETERA INVESTMENT ADVISERS

CHARLOTTE, NC 28277

Some features on this profile are disabled

CRD#: 1233778

Professional summary

David Kent Prewette, who also goes by Kent Prewette, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA WEALTH SERVICES, LLC located in Charlotte, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kent Prewette

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kent Prewette's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 1, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277

RIA

CRD#: 105644

CHARLOTTE, NC

Current

July 20, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277

CRD#: 13572

Charlotte, NC

Past

April 4, 2023 - July 20, 2023

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Charlotte, NC

Past

April 30, 2015 - July 12, 2023

CENTER STREET ADVISORS, INC.

RIA

CRD#: 169329

CHARLOTTE, NC

Past

April 16, 2015 - July 20, 2023

CENTER STREET SECURITIES, INC.

CRD#: 26898

CHARLOTTE, NC

Past

January 9, 2014 - April 27, 2015

FINANCIAL SECURITY ADVISORY INC

RIA

CRD#: 110746

CHARLOTTE, NC

Past

January 9, 2014 - April 27, 2015

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

CRD#: 43000

CHARLOTTE, NC

Past

May 30, 2013 - December 31, 2013

SOUTHEAST INVESTMENTS, N.C., INC.

RIA

CRD#: 43035

CHARLOTTE, NC

Past

October 7, 2005 - December 31, 2013

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

April 3, 2002 - October 3, 2005

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 20, 1998 - April 4, 2002

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

October 31, 1997 - December 22, 1997

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 21, 1994 - October 24, 1997

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

July 16, 1986 - December 13, 1989

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 16, 1984 - August 7, 1984

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(7/24/2023)

Michigan
(7/31/2023)

North Carolina
(7/21/2023)

IAR

North Carolina
(8/1/2023)

South Carolina
(7/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/20/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

John Sanders

PORTUS WEALTH ADVISORS, LLC

IAR

CHARLOTTE, NC

Jessica Williams

VANGUARD ADVISERS, INC.

IAR

CHARLOTTE, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David K. Prewette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kent Prewette's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

ARETE WEALTH ADVISORS, LLC

CENTER STREET ADVISORS, INC.

CENTER STREET SECURITIES, INC.

FINANCIAL SECURITY ADVISORY INC

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS, N.C., INC.

THE LEADERS GROUP, INC.

LIFEMARK SECURITIES CORP.

VOYA FINANCIAL ADVISORS, INC.

STONEX SECURITIES INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2013

Series 63

Date: 10/20/1994

SIE

Date: 10/1/2018

Series 6

Date: 10/20/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors