DV
David A. Volkman
CETERA INVESTMENT ADVISERS LLC
TARRYTOWN, NY 10591
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CRD#: 2381581
DV
Professional summary
David Aaron Volkman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tarrytown, New York and CETERA ADVISORS LLC located in Tarrytown, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 7 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. INSURANCE - INDEPENDENT - CONTRACTOR INSURANCE - 8 HOURS PER MONTH - 11/01/2012 2. INTELLECTUAL CAPITAL - EXCHANGE GROUP - OWNER - MARKETING - 40 HOURS PER MONTH - 10/01/2012 3. TORAH BETH SHALOM; BOARD OF TRUSTEES; NONPROFIT ORGANIZATION; START DATE 07/01/2013; 4 HRS. PER MONTH. 4. DAVID A. VOLKMAN; INDEPENDENT CONTRACTOR; AUTHOR/SPEAKER/ENTERTAINER/MEDIA CONTRIBUTOR; START DATE 11/1/2012; 40 HOURS PER MONTH 6. ID 360; Consultant; Consulting ; start date 09/01/2016; 20 hours per month. 7. Granite Ridge Wealth Advisor, LLC; Managing Director; Start Date 02/15/2017; 40 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view David Aaron Volkman'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 120 White Plains Road Suite 403, Tarrytown, NY 10591RIA
CRD#: 105644
TARRYTOWN, NY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 120 White Plains Road Suite 403, Tarrytown, NY 10591BD
CRD#: 10299
Tarrytown, NY
Past
June 14, 2017 - December 6, 2024
PREMIER WEALTH ADVISORS, LLC
RIA
CRD#: 120358
NEW YORK, NY
Past
November 26, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
New York, NY
Past
November 26, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
NEW YORK, NY
Past
May 27, 2010 - November 27, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
RIDGEWOOD, NJ
Past
May 27, 2010 - November 27, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
RIDGEWOOD, NJ
Past
February 11, 2010 - May 27, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
RYE BROOK, NY
Past
July 30, 2008 - May 27, 2010
OSAIC FA, INC.
BD
CRD#: 3978
RYE BROOK, 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".
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(3/23/2023)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
Florida(9/8/2022)
RR
Hawaii(9/8/2022)
RR
Illinois(9/8/2022)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
New Hampshire(5/1/2024)
RR
New Jersey(9/8/2022)
IAR
New York(3/31/2021)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Oklahoma(8/8/2025)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/4/2024)
RR
Tennessee(8/8/2025)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
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.
