DP
David S. Pearson
CETERA INVESTMENT ADVISERS LLC
Murray, UT 84107
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CRD#: 2174863
DP
Professional summary
David S Pearson, CFP®, who also goes by David Pearson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Murray, Utah and CETERA WEALTH SERVICES, LLC located in Murray, Utah.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Pearson
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: INSURANCE, INVESTMENT RELATED: YES, NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE), POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS AN AGENT; 2) NAME OF OTHER BUSINESS: PEARSON & PEARSON, LLC, INVESTMENT RELATED: NO, NATURE OF BUSINESS: REAL ESTATE MANAGEMENT/RENTAL PROPERTIES. POSITION/TITLE/RELATIONSHIP: CO-OWNER, START DATE: 1994 APX NUMBER OF HOURS PER MONTH: 1-2 HOURS PER MONTH, BRIEF DESCRIPTION OF DUTIES: OWNER OF REAL ESTATE MANAGEMENT AND RENTAL PROPERTY. 3) NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS AKA FINANCIAL NETWORK FID WEST, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2011, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT/FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, CONTRACT WITH INDIVIDUALS AND OR INSTITUTIONS TO PROVIDE INVESTMENT SERVICES PROGRAM MANAGEMENT; 4) NAME OF OTHER BUSINESS: DPPH, LLC; INVESTMENT RELATED: NO; ADDRESS: 1265 FORT UNION BLVD SUITE 115, COTTONWOOD HEIGHTS, UT 84047; NATURE OF BUSINESS: REAL ESTATE HOLDING COMPANY; START DATE: 10/2017; POSITION/TITLE/RELATIONSHIP: OWNER / PARTNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OWNER / PARTNER DUTIES; 5) NAME OF OTHER BUSINESS: TRUSTEE FOR NIECE'S ILIT; INVESTMENT RELATED: NO; ADDRESS: 1265 FORT UNION BLVD SUITE 115, COTTONWOOD HEIGHTS, UT 84047; NATURE OF BUSINESS: IRREVOCABLE LIFE INSURANCE TRUST; START DATE: 02/2017; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MAKE SURE LIFE INSURANCE PROCEEDS ARE USED TO CARE FOR NIECE'S DAUGHTER; 6) NAME OF OTHER BUSINESS: WINCHESTER OFFICE PARK CONDOMINIUMS ; INVESTMENT RELATED: NO ADDRESS: 118 W. WINCHESTER ST #100. MURRAY UT 84107 ; NATURE OF BUSINESS: NON-PROFIT PROPERTY ; START DATE: 06/2019 ; POSITION/TITLE/RELATIONSHIP: DIRECTOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: DIRECTING PROPERTY MAINTENANCE AND IMPROVEMENTS ACTIVITIES ; 7) NAME OF OTHER BUSINESS: PEAK GC THREE LLC; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY INVESTMENT; 8) NAME OF OTHER BUSINESS: PEARSON & PEARSON INC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BUSINESS EXPENSE MANAGEMENT; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE PAYROLL, EMPLOYEES AND BUSINESS EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view David S Pearson'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®
CFP®
Start date: 2003
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 114 W Winchester Street, Suite 100, Murray, UT 84107RIA
CRD#: 105644
Murray, UT
Current
March 2, 2004 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 114 W Winchester Street, Suite 100, Murray, UT 84107BD
CRD#: 13572
Murray, UT
Past
April 7, 2006 - March 31, 2008
INSPHERE SECURITIES, INC.
BD
CRD#: 136433
SALT LAKE CITY, UT
Past
March 5, 2004 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAYTON, UT
Past
September 23, 2003 - January 9, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN FRANCISCO, CA
Past
September 23, 2003 - January 9, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 10, 2001 - July 24, 2003
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
OGDEN, UT
Past
January 5, 1996 - July 24, 2003
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
August 30, 1993 - December 12, 1995
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
October 24, 1991 - August 30, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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(4/25/2011)
RR
Colorado(4/27/2011)
RR
Florida(1/31/2023)
RR
Hawaii(8/10/2018)
RR
Idaho(7/2/2007)
RR
Nevada(3/12/2021)
RR
Ohio(3/11/2025)
RR
Oklahoma(2/20/2009)
RR
Texas(2/23/2018)
IAR
Texas(6/29/2023)
RR
Utah(3/2/2004)
IAR
Utah(6/29/2023)
RR
Washington(6/3/2021)
RR
Wyoming(11/2/2020)
Exams
State Security Law Exam
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
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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.
