DM
David Mital
CETERA INVESTMENT ADVISERS LLC
OAKLAND, NJ 07436
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CRD#: 1437834
DM
Professional summary
David Mital, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakland, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Oakland, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 4 firms and has passed the Series 66, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) DAVID MITAL TAX PREPARATION SERVICE 310 RAMAPO VALLEY ROAD, OAKLAND, N.J. 07436 300 HRS.PER MONTH FOR 4 MONTHS. TAXES, CFP: 2) RENEWALS ON LIFE INSURANCE AND ANNUITIES: 2) NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: 35 WALTON AVE PO BOX 90, OAKLAND, NJ 07436; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 08/1981; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2018; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH; 4) NAME OF OTHER BUSINESS: DBA MITAL FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 07/2017; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: DAVID MITAL & ASSOCIATES, LLC; INVESTMENT RELATED: NO; ADDRESS: 310 RAMAPO VALLEY ROAD OAKLAND, NJ 07436; NATURE OF BUSINESS: REAL ESTATE; START DATE: 02/2003; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1;, APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view David Mital'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®
CFP®
Start date: 1990
Experience
Current
October 24, 2005 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 310 Ramapo Valley Road Po Box 90, Oakland, NJ 07436RIA
CRD#: 105644
OAKLAND, NJ
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 310 Ramapo Valley Road, Oakland, NJ 07436BD
CRD#: 10358
Oakland, NJ
Past
June 24, 2002 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
January 14, 1986 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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
Arizona(10/24/2005)
RR
Florida(8/22/2008)
RR
New Jersey(10/24/2005)
IAR
New Jersey(10/24/2005)
RR
New York(10/24/2005)
RR
North Carolina(7/13/2009)
RR
Pennsylvania(7/25/2023)
RR
Texas(12/15/2015)
IAR
Texas(2/24/2023)
RR
Virginia(7/22/2011)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
