DP
David K. Prewette
CETERA INVESTMENT ADVISERS LLC
CHARLOTTE, NC 28277
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CRD#: 1233778
DP
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/1981; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DAVID PREWETTE REALTY; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: REAL ESTATE; START DATE: 06/1992; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: I HAVE OWNED MY REAL ESTATE COMPANY FOR MANY YEARS. I USE IT FOR FAMILY PROPERTY AND OCCASIONAL REFERRAL FEES. I DON'T PROMOTE THIS ACTIVITY WITH MY SECURITIES CLIENTS; 3. NAME OF OTHER BUSINESS: D. Kent Prewette and Associates; INVESTMENT RELATED: yes; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA for financial services; START DATE: 06/1984; POSITION/TITLE/RELATIONSHIP: owner; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: provide brokerage and advisory services when needed. 4. NAME OF OTHER BUSINESS: RETIREMENT FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: PO BOX 49267, CHARLOTTE, NC 28277; NATURE OF BUSINESS: COMPANY IS USED FOR PAYROLL PURPOSES; START DATE: 06/1984; POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: THIS COMPANY IS USED FOR PAYROLL PURPOSES; 5. NAME OF OTHER BUSINESS: CONVERGENT FINANCIAL PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE SERVICES TO CLIENTS;
CRS (Client Relationship Summary) - RIA
Click below to view David Kent Prewette'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®
NoneExperience
Current
August 1, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277RIA
CRD#: 105644
CHARLOTTE, NC
Current
July 20, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277BD
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.
BD
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
BD
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.
BD
CRD#: 43035
CHARLOTTE, NC
Past
April 3, 2002 - October 3, 2005
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
January 20, 1998 - April 4, 2002
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
October 31, 1997 - December 22, 1997
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 21, 1994 - October 24, 1997
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
July 16, 1986 - December 13, 1989
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
July 16, 1984 - August 7, 1984
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
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".
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
Florida(7/24/2023)
RR
Michigan(7/31/2023)
RR
North Carolina(7/21/2023)
IAR
North Carolina(8/1/2023)
RR
South Carolina(7/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
