DL
David P. Loftus
CETERA INVESTMENT ADVISERS LLC
NEWPORT, RI 02840
Some features on this profile are disabled
CRD#: 2244650
DL
Professional summary
David Patrick Loftus is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport, Rhode Island and CETERA ADVISORS LLC located in Newport, Rhode Island.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 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 REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 8/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, AND ANNUITIES;
2. NAME OF OTHER BUSINESS: DMI MARKETING,
INVESTMENT RELATED: YES,
ADDRESS: 50 DERBY ST, WINGHAM MA, 02043
NATURE OF BUSINESS: DBA FOR SALE OF INSURANCE & ANNUITIES,
START DATE: 11/2013,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: INDEPENDENT BROKER,
BRIEF DESCRIPTION OF DUTIES: SALES;
3. NAME OF OTHER BUSINESS: ST LUKES (RC) CHURCH PARISH,
INVESTMENT RELATED: NO,
ADDRESS: 108 WASHINGTON RD, BARRINGTON, RI 02806
NATURE OF BUSINESS: CHURCH,
START DATE: 1998,
APX NUMBER OF HOURS PER WEEK: 2,
APX NUMBER OF TRADING HOURS PER WEEK: 2,
POSITION/TITLE/RELATIONSHIP: TRUSTEE,
BRIEF DESCRIPTION OF DUTIES: OVERSEE GENERAL PARISH OPERATION FINANCE COMMITTEE;
4. NAME OF OTHER BUSINESS: RETIREMENT WORKSHOP,
INVESTMENT RELATED: NO,
ADDRESS: VARIES
NATURE OF BUSINESS: PROVIDE RETIREMENT WORKSHOPS TO PUBLIC EMPLOYEES IN AZ & FL,
START DATE: 2006,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: WORKSHOP PROVIDER,
BRIEF DESCRIPTION OF DUTIES: INFORMATIONAL WORKSHOPS TO RETIRING PUBLIC EMPLOYEES
5. NAME OF OTHER BUSINESS: BELLEVUE PRIVATE WEALTH, LLC;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 1/2021;
POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF TRADING HOURS PER WEEK: 32.5;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Patrick Loftus'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 130 Bellevue Ave Ste 207, Newport, RI 02840RIA
CRD#: 105644
NEWPORT, RI
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 130 Bellevue Ave Ste 207, Newport, RI 02840BD
CRD#: 10299
NEWPORT, RI
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
September 23, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
NEWPORT, RI
Past
September 23, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
NEWPORT, RI
Past
February 27, 2009 - October 17, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARWICK, RI
Past
February 27, 2009 - October 17, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
WARWICK, RI
Past
November 30, 2005 - February 27, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
WARWICK, RI
Past
November 29, 2005 - February 27, 2009
OSAIC FS, INC.
BD
CRD#: 3870
WARWICK, RI
Past
July 2, 2004 - September 1, 2005
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MERIDEN, CT
Past
March 30, 2000 - April 19, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
PROVIDENCE, RI
Past
June 9, 1999 - April 19, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 22, 1999 - June 17, 1999
INTERLINK SECURITIES CORP.
BD
CRD#: 30505
WOODLAND HILLS, CA
Past
October 29, 1998 - February 3, 1999
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 6, 1998 - October 29, 1998
AFD, INC.
BD
CRD#: 34047
NORTHBROOK, IL
Past
July 16, 1992 - January 21, 1997
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, 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
Arizona(10/3/2016)
RR
Florida(6/11/2020)
RR
Massachusetts(10/3/2016)
RR
Rhode Island(10/3/2016)
IAR
Rhode Island(3/21/2024)
RR
Texas(7/16/2019)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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
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#: 105644Newport, RI 02840TRUST BUT VERIFY
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