David L. Dosik

CETERA INVESTMENT ADVISERS LLC

NORTHBROOK, IL

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CRD#: 1978544

Professional summary

David Lawrence Dosik, who also goes by David L Dosik, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Northbrook, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Northbrook, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David L Dosik

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) FIXED INSURANCE AGENT, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SALES OF LONG-TERM CARE INSURANCE, FIXED ANNUITIES, AND LIFE INSURANCE. 2) MJ FINANCIAL ADVISORS, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, FINANCIAL ADVISOR, DBA FOR INVESTMENT BUSINESS, SINCE 02/2001, 40H/WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Dosik's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 16, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NORTHBROOK, IL

Current

September 16, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NORTHBROOK, IL

Past

August 6, 2012 - September 17, 2024

SCF INVESTMENT ADVISORS, INC.

RIA

CRD#: 123608

Northbrook, IL

Past

August 3, 2012 - September 17, 2024

SCF SECURITIES, INC.

CRD#: 47275

NORTHBROOK, IL

Past

December 4, 2007 - August 6, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

NORTHBROOK, IL

Past

December 4, 2007 - August 6, 2012

BROKERSXPRESS LLC

CRD#: 127081

NORTHBROOK, IL

Past

November 13, 2003 - December 3, 2007

FINANCIAL WEST GROUP

RIA

CRD#: 16668

NORTHBROOK, IL

Past

March 4, 2002 - December 3, 2007

FINANCIAL WEST GROUP

CRD#: 16668

NORTHBROOK, IL

Past

September 25, 2001 - November 14, 2001

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

September 5, 1997 - November 30, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 3, 1997 - September 5, 1997

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

June 19, 1995 - January 31, 1997

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 9, 1995 - July 14, 1995

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

October 10, 1994 - February 2, 1995

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

April 24, 1992 - October 10, 1994

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

April 25, 1990 - April 24, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 22, 1989 - May 10, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(11/27/2024)

Florida
(9/17/2024)

Illinois
(10/29/2024)

IAR

Illinois
(10/30/2024)

Indiana
(10/30/2024)

North Dakota
(11/14/2024)

Pennsylvania
(9/17/2024)

South Carolina
(11/21/2024)

IAR

Texas
(9/16/2024)

Texas
(9/17/2024)

Wisconsin
(10/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/28/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

David L. Dosik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Dosik's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

SCF INVESTMENT ADVISORS, INC.

SCF SECURITIES, INC.

BROKERSXPRESS LLC

BROKERSXPRESS LLC

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

LASALLE FINANCIAL SERVICES, INC.

BANC ONE SECURITIES CORPORATION

CETERA INVESTMENT SERVICES LLC

ESSEX NATIONAL SECURITIES, LLC

WINGSPAN INVESTMENT SERVICES

HAMILTON INVESTMENTS, INC.

CAL FED INVESTMENTS

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/18/1999

Series 63

Date: 8/24/1989

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 24

Date: 11/28/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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