David J. Grossbard

CETERA INVESTMENT ADVISERS LLC

Edgewater, NJ 07020

Some features on this profile are disabled

CRD#: 2346595

Professional summary

David Jay Grossbard, who also goes by Dave Grossbard, David J Grossbard, David Grossbard, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edgewater, New Jersey and CETERA WEALTH SERVICES, LLC located in Englewood Cliffs, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Grossbard | David J Grossbard | David Grossbard

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) OTTERSTEDT INSURANCE AGENCY POSITION: Independant Financial Advisor NATURE: Issues P&C policies. Place auto and homeowners Ins. policies. Place business insurance policiew. Refer clients to the Property Casualty agency when appropriate INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2006 ADDRESS: 540 Sylvan Ave, Englewood Cliffs NJ 07632, United States DESCRIPTION: Only duties are to refer clients when appropriate for commercial insurance, homeowner and auto insurance to the agency. 2) SYLVAN FINANCIAL ADVISORS POSITION: Financial Advisor NATURE: This is a DBA used forInvestment PlanningEstate PlanningFinancial planningRetirement planningCollege planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/23/2017 ADDRESS: 540 Sylvan Ave, Englewood Cliffs NJ 07632, United States DESCRIPTION: -Meeting with clients-Reviewing investment goals and prefomance-Client strategy meetings-manage and maintain client relationships-Rebalance and manage portfolios-Retirement income planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jay Grossbard'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 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 135 Russell Ave, Edgewater, NJ 07020Office #3: 540 Sylvan Ave, Englewood Cliffs, NJ 07632

RIA

CRD#: 105644

Edgewater, NJ

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 540 Sylvan Ave, Englewood Cliffs, NJ 07632Office #2: 7724 Villa D Este Way, Delray Beach, FL 33446

CRD#: 13572

Englewood Cliffs, NJ

Past

December 6, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Englewood Cliffs, NJ

Past

December 1, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Englewood Cliffs, NJ

Past

October 25, 2010 - December 4, 2023

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

ENGLEWOOD CLIFFS, NJ

Past

October 25, 2010 - December 4, 2023

THE INVESTMENT CENTER, INC.

CRD#: 17839

ENGLEWOOD CLIFFS, NJ

Past

December 1, 2006 - October 28, 2010

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WEST ORANGE, NJ

Past

July 19, 1999 - October 28, 2010

OSAIC WEALTH, INC.

CRD#: 23131

WEST ORANGE, NJ

Past

June 10, 1999 - October 28, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

April 15, 1998 - May 17, 1999

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

October 14, 1996 - April 16, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 23, 1994 - October 16, 1996

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 14, 1994 - December 23, 1994

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

FAIR LAWN, NJ

Past

December 20, 1993 - January 1, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 20, 1993 - January 1, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

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
(9/5/2025)

Colorado
(9/5/2025)

Connecticut
(9/5/2025)

Florida
(9/5/2025)

IAR

Florida
(9/17/2025)

Georgia
(9/5/2025)

Illinois
(9/5/2025)

Indiana
(9/5/2025)

Maryland
(9/5/2025)

Massachusetts
(10/29/2025)

Montana
(9/5/2025)

Nebraska
(9/5/2025)

New Jersey
(9/5/2025)

IAR

New Jersey
(9/5/2025)

New York
(9/5/2025)

Pennsylvania
(9/5/2025)

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 66

Date: 11/21/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/17/1993

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: 12/2/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/17/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David J. Grossbard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jay Grossbard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

ESSEX NATIONAL SECURITIES, LLC

DIME SECURITIES, INC.

OSAIC WEALTH, INC.

ESSEX NATIONAL SECURITIES, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2006

Series 63

Date: 12/17/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/2/1998

Series 6

Date: 12/17/1993

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

Contact information

Similar Advisors