DB
David E. Bornberg
CETERA INVESTMENT ADVISERS LLC
COCOA, FL 32926
Some features on this profile are disabled
CRD#: 1807113
DB
Professional summary
David Edwin Bornberg is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cocoa, Florida and CETERA ADVISORS LLC located in Cocoa, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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. OWNER OF SMALL TREE FARM/PLANT NURSERY. DBA DB TREES. 2. LIFE, HEALTH, TERM, LONG TERM CARE, DISABILITY & MEDICAL INSURANCE SALES TO INDIVIDUALS AND GROUPS. METROPOLITAN, AETNA, BD/BS OF FC, HEALTH FIRST, GUARDIAN, MUTUAL OF OMAHA ETC. FIXED ANNUITY SALES WITH ING & BANKERS ETC. DBA D BORNBERG & ASSOCIATES 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: 09/2023 APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, LONG-TERM CARE AND STRUCTURED ANNUITIES; 4. NAME OF OTHER BUSINESS: DAVID BORNBERG ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: WOODWORKING ; START DATE: 12/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 10 ; BRIEF DESCRIPTION OF DUTIES: MAKES CHARCUTERIE, CUTTING AND OTHER BOARDS, ALSO TURNED BOWLS ; 5. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 09/2018; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view David Edwin Bornberg'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
February 13, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 412 Highpoint Drive Suite 111, Cocoa, FL 32926RIA
CRD#: 105644
COCOA, FL
Current
July 18, 2007 - Present
CETERA ADVISORS LLC
Office #1: 412 Highpoint Drive Suite 111, Cocoa, FL 32926BD
CRD#: 10299
Cocoa, FL
Past
July 19, 2007 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
February 21, 2006 - July 19, 2007
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
MELBOURNE, FL
Past
March 11, 1996 - July 19, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
MELBOURNE, FL
Past
April 26, 1988 - March 26, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
April 26, 1988 - March 26, 1996
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
Florida(7/18/2007)
IAR
Florida(2/13/2024)
RR
Georgia(7/18/2007)
RR
Illinois(7/18/2007)
RR
Massachusetts(4/27/2020)
RR
South Carolina(12/7/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cocoa, FL 32926TRUST BUT VERIFY
Monitor David Bornberg
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
