David G. Ho
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Gee Wai Ho was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - February 3, 2020
CETERA INVESTMENT ADVISERS LLC
April 18, 2017 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
April 18, 2017 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
July 5, 2011 - April 27, 2017
LPL FINANCIAL LLC
July 5, 2011 - April 27, 2017
LPL FINANCIAL LLC
December 21, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
December 21, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
March 29, 2006 - October 19, 2009
BANCWEST INVESTMENT SERVICES, INC.
March 29, 1999 - October 19, 2009
BANCWEST INVESTMENT SERVICES, INC.
April 22, 1998 - April 6, 1999
MUTUAL SECURITIES, INC.
September 23, 1993 - April 24, 1998
BA INVESTMENT SERVICES, INC.
November 15, 1989 - October 11, 1993
MML INVESTORS SERVICES, LLC
March 21, 1989 - November 21, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 21, 1989 - November 21, 1989
MONY SECURITIES CORPORATION
June 22, 1988 - October 12, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Exams
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
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.
