DM
David L. Murdock
CETERA INVESTMENT ADVISERS LLC
Northfield, MN 55057
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CRD#: 2385324
DM
Professional summary
David Lee Murdock is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Northfield, Minnesota and CETERA WEALTH SERVICES, LLC located in St. Paul, Minnesota.
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 3 firms and has passed the Series 63, Series 7TO, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Murdock'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2000 Honeylocust Drive, Northfield, MN 55057Office #2: 4200 W Old Shakopee Rd Ste 245, Bloomington, MN 55437Office #4: 500 Main St Ste 100, New Brighton, MN 55112Office #5: 1151 Southview Blvd, South St. Paul, MN 55075Office #6: 3505 Northdale Blvd Nw, Coon Rapids, MN 55448Office #7: 5500 S Robert Tr, Inver Grove Heights, MN 55164Office #8: 161 Marie Ave E, West St Paul, MN 55118RIA
CRD#: 105644
Northfield, MN
Current
September 4, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 144 11th St E, St. Paul, MN 55101Office #2: 1151 Southview Blvd, South St. Paul, MN 55075Office #3: 3300 Oakdale Ave N, Robbinsdale, MN 55422Office #4: 5500 S Robert Tr, Inver Grove Heights, MN 55164Office #5: 700 Apollo Dr, Lino Lakes, MN 55014Office #6: 161 Marie Ave E, West St Paul, MN 55118Office #7: 2400 W Bridge St, Owatonna, MN 55060Office #8: 1661 Cope Ave, Maplewood, MN 55104Office #9: 500 Main St Ste 100, New Brighton, MN 55112BD
CRD#: 13572
St. Paul, MN
Past
January 8, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CIRCLE PINES, MN
Past
August 13, 1993 - September 20, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
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".
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(3/22/2013)
RR
California(1/3/2019)
RR
Colorado(11/7/2011)
RR
Florida(3/22/2013)
RR
Idaho(11/16/2016)
RR
Illinois(7/8/2020)
RR
Iowa(9/4/2001)
RR
Kansas(1/2/2004)
RR
Kentucky(7/7/2021)
RR
Michigan(7/8/2020)
RR
Minnesota(9/4/2001)
IAR
Minnesota(6/29/2023)
RR
Missouri(10/25/2017)
RR
Montana(1/2/2025)
RR
Nebraska(7/8/2020)
RR
Nevada(3/22/2013)
RR
New Mexico(7/8/2020)
RR
North Carolina(7/8/2020)
RR
Ohio(7/9/2020)
RR
Oregon(5/6/2008)
RR
South Dakota(7/8/2020)
RR
Texas(1/3/2019)
IAR
Texas(6/29/2023)
RR
Utah(7/8/2020)
RR
Virginia(1/2/2014)
RR
Washington(7/8/2020)
RR
Wisconsin(11/1/2002)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2022
General Securities Representative ExaminationGeneral 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 |
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.
