Robert B. Davis

CETERA INVESTMENT ADVISERS LLC

WINTER PARK, FL 32789

Some features on this profile are disabled

CRD#: 2360064

Professional summary

Robert Brian Davis, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winter Park, Florida and CETERA WEALTH SERVICES, LLC located in Winter Park, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 505 N PARK AVENUE STE 201; WINTER PARK; FL; 32789; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 7/19/2012; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brian Davis'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 21, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 505 N Park Ave Ste 201, Winter Park, FL 32789

RIA

CRD#: 105644

WINTER PARK, FL

Current

May 10, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 505 N Park Avenue Ste 201, Winter Park, FL 32789

CRD#: 13572

Winter Park, FL

Past

May 26, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WINTER PARK, FL

Past

July 27, 2012 - June 14, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WINTER PARK, FL

Past

July 19, 2012 - June 14, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINTER PARK, FL

Past

February 12, 2009 - July 18, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

WINTER PARK, FL

Past

January 29, 2009 - July 18, 2012

BROKERSXPRESS LLC

CRD#: 127081

WINTER PARK, FL

Past

July 1, 2003 - January 30, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ORLANDO, FL

Past

July 1, 2003 - January 30, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ORLANDO, FL

Past

March 27, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ORLANDO, FL

Past

March 27, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 29, 1993 - March 27, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 1, 1993 - October 30, 1993

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

June 18, 1993 - December 21, 1993

LUX INVESTOR SERVICES CORPORATION

CRD#: 18424

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

Florida
(5/10/2021)

IAR

Florida
(4/21/2023)

Georgia
(6/10/2021)

Illinois
(10/6/2021)

Massachusetts
(8/14/2024)

Tennessee
(11/16/2023)

Texas
(6/10/2021)

IAR

Texas
(6/29/2023)

West Virginia
(6/14/2021)

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 65

Date: 11/20/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/29/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/17/1993

General Securities 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.

Similar Advisors

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

John Darby

GRAHAM CAPITAL WEALTH MANAGEMENT, LLC

IAR

SARASOTA, FL

Marc Vincent

REDSTONE ADVISORS INC

IAR

WICHITA, KS

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert B. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brian Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

BROKERSXPRESS LLC

BROKERSXPRESS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

A. G. EDWARDS & SONS, INC.

QUEST CAPITAL STRATEGIES, INC.

LUX INVESTOR SERVICES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/1997

Series 63

Date: 10/11/1993

SIE

Date: 10/1/2018

Series 31

Date: 6/29/1999

Series 7

Date: 6/17/1993

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

Similar Advisors