David C. Estwick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Crawford Estwick was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - April 5, 2024
CETERA INVESTMENT ADVISERS LLC
February 8, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
February 8, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
February 8, 2016 - December 14, 2016
LEGEND EQUITIES CORPORATION
February 8, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
February 8, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 8, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 18, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
August 9, 2012 - April 5, 2024
CETERA FINANCIAL SPECIALISTS LLC
April 12, 2010 - April 5, 2024
CETERA INVESTMENT SERVICES LLC
April 12, 2010 - April 5, 2024
CETERA ADVISORS LLC
April 12, 2010 - April 5, 2024
CETERA WEALTH SERVICES, LLC
September 30, 2008 - July 20, 2009
WELLS FARGO INVESTMENTS, LLC
September 23, 2008 - July 20, 2009
WELLS FARGO INVESTMENTS, LLC
July 21, 1999 - August 13, 2007
COREBRIDGE CAPITAL SERVICES, INC.
September 17, 1996 - May 10, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 28, 1995 - June 6, 1996
UBS FINANCIAL SERVICES INC.
March 10, 1994 - August 19, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
