DH
David B. Hammond
CETERA INVESTMENT ADVISERS LLC
TUCSON, AZ
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CRD#: 235308
DH
Professional summary
David Bruce Hammond, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tucson, Arizona and CETERA WEALTH SERVICES, LLC located in Tucson, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. David has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 51 and Series 40 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: DAVID B. HAMMOND
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED
NATURE OF BUSINESS: NOTARY
START DATE: 09/26/1991
POSITION/TITLE/RELATIONSHIP: NOTARY
APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS WHEN NECESSARY.
2. NAME OF OTHER BUSINESS: HAMMOND & ASSOCIATES;
INVESTMENT RELATED: NO;
ADDRESS: 5993 E GRANT ROAD, TUCSON, AZ 85712;
NATURE OF BUSINESS: OFFICE BUILDING SIGNAGE;
START DATE: 09/1995;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 60;
APX NUMBER OF HOURS DURING TRADING HOURS: 60;
BRIEF DESCRIPTION OF DUTIES: NONE, SIGNAGE ON OFFICE BUILDING;
3.NAME OF OTHER BUSINESS: OLD FARM EXECUTIVE PARK;
INVESTMENT RELATED: NO;
ADDRESS: 5987-6151 E. GRANT RD TUCSON AZ 85712;
NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION;
START DATE: 9/2010
POSITION/TITLE/RELATIONSHIP: SECRETARY;
APX NUMBER OF HOURS PER WEEK: 0;
APX NUMBER OF HOURS DURING TRADING HOURS: 0;
BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND VOTE ON AGENDA ITEMS;
4. NAME OF OTHER BUSINESS: DKH PROPERTIES I LLC & DHK PROPERTIES II LLC;
INVESTMENT RELATED: NO;
ADDRESS: 5993 E. GRANT RD TUCSON AZ 85712;
NATURE OF BUSINESS: REAL ESTATE;
START DATE:11/2019
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 0;
APX NUMBER OF HOURS DURING TRADING HOURS: 0;
BRIEF DESCRIPTION OF DUTIES: OWNER OCCUPIED OFFICE BUILDING AND LEASED RENTAL BUILDING;
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Hammond'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: 1988
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TUCSON, AZ
Current
July 5, 1983 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5993 E. Grant Rd, Tucson, AZ 85712BD
CRD#: 13572
Tucson, AZ
Past
July 1, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 13, 1978 - July 5, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
November 12, 1975 - March 20, 1978
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
Past
July 18, 1975 - May 16, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
August 7, 1970 - September 18, 1975
OPPENHEIMER ASSET MANAGEMENT CORPORATION
BD
CRD#: 386
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
Alabama(4/20/2020)
RR
Arizona(3/23/1984)
IAR
Arizona(6/29/2023)
RR
California(1/7/2004)
RR
Colorado(12/12/2000)
RR
Connecticut(8/31/2017)
RR
Florida(12/17/2010)
RR
Georgia(4/2/2008)
RR
Hawaii(12/16/2008)
RR
Illinois(1/11/2011)
RR
Indiana(9/23/2008)
RR
Maryland(3/15/2013)
RR
Michigan(9/13/1996)
RR
Montana(2/15/2011)
RR
Nevada(12/15/2014)
RR
New Mexico(1/2/2008)
RR
New York(3/4/2010)
RR
North Carolina(6/28/2018)
RR
Ohio(12/5/2018)
RR
Oklahoma(11/5/2015)
RR
Oregon(10/23/1997)
RR
South Dakota(6/27/2018)
RR
Texas(2/20/2008)
IAR
Texas(6/29/2023)
RR
Virginia(2/23/2000)
RR
Washington(9/26/2000)
RR
Wyoming(1/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/30/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 3/11/1978
Registered Principal ExaminationSRO 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
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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.
