DH
David C. Heller
CETERA INVESTMENT ADVISERS LLC
IRVINGTON, NY 10533
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CRD#: 1488226
DH
Professional summary
David Cary Heller, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Irvington, New York and CETERA WEALTH SERVICES, LLC located in Melville, New York.
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 7 firms and has passed the Series 63, 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) INDEPENDENT INSURANCE AGENT LIFE/ACCIDENT/HEALTH FOR 30 HRS/WK & 5HRS EVENING & WKENDS SINCE 1988; 2) NAME OF OTHER BUSINESS: D.C. HELLER & COMPANY, INC.; INVESTMENT RELATED: NO; ADDRESS: 3 WEST MAIN STREET SUITE 201B, IRVINGTON, NY 10533; NATURE OF BUSINESS: EMPLOYEE BENEFITS - GROUP INSURANCE SALES; START DATE: 01/1991; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SALES AND BUSINESS ADMINISTRATION; 3) NAME OF OTHER BUSINESS: HIGH STREET INSURANCE PARTNERS, INC. DBA HIGHSTREET INSURANCE SERVICES NORTHEAST LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RISK MANAGEMENT AND INSURANCE SALES; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: EMPLOYEE BENEFITS SALES AND SERVICE
CRS (Client Relationship Summary) - RIA
Click below to view David Cary Heller'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3 West Main St Ste 201b, Irvington, NY 10533Office #2: 200 Broadhollow Rd Ste 207, Melville, NY 11747RIA
CRD#: 105644
IRVINGTON, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Broadhollow Rd Ste 207, Melville, NY 11747Office #2: 3 West Main St Ste 201b, Irvington, NY 10533BD
CRD#: 13572
MELVILLE, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MELVILLE, NY
Past
September 3, 2003 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
PLAINVIEW, NY
Past
December 23, 1999 - June 30, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 18, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 18, 1997 - June 18, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
January 26, 1994 - November 19, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 26, 1994 - November 19, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
August 13, 1987 - December 31, 1993
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 30, 1986 - September 28, 1988
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Connecticut(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
Pennsylvania(1/4/2023)
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
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.
