DG
David B. Guzy
CETERA INVESTMENT ADVISERS LLC
DRAPER, UT
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CRD#: 1848155
DG
Professional summary
David Bruce Guzy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Draper, Utah and CETERA WEALTH SERVICES, LLC located in Draper, Utah.
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 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
APX NUMBER OF HOURS PER WEEK: 4
APX NUMBER OF HOURS DURING TRADING HOURS: 4
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE
2. NAME OF OTHER BUSINESS: DBG FINANCIAL SERVICES
INVESTMENT RELATED: YES
ADDRESS: 180 SOUTH 1970 EAST, HEBER CITY, UTAH 84032
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 1/2005
POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER
APX NUMBER OF HOURS PER WEEK: 0
APX NUMBER OF HOURS DURING TRADING HOURS: 0
BRIEF DESCRIPTION OF DUTIES: THIS DBA/LLC HAS REMAINED CURRENT DUE TO PREVIOUS ACTIVITY PRIOR TO 2013 WHEN I WAS AFFILIATED WITH CETERA. THE LLC IS CURRENTLY NOT BEING ACTIVELY USED.
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Guzy'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
DRAPER, UT
Current
June 19, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 38 W 13775 S, Ste 300, Draper, UT 84020BD
CRD#: 13572
Draper, UT
Past
November 12, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 27, 2000 - April 18, 2013
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SANDY, UT
Past
February 29, 2000 - April 18, 2013
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SANDY, UT
Past
February 24, 1998 - March 23, 2000
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 26, 1988 - April 2, 1998
ZIONS DIRECT, INC.
BD
CRD#: 17776
SALT LAKE CITY, UT
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
California(1/5/2021)
RR
Idaho(1/5/2021)
RR
Utah(9/3/2020)
IAR
Utah(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/19/2020
General Securities Representative ExaminationGeneral 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.
