David Kraemer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Kraemer, who also goes by David Martin Kraemer, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 7 firms and has passed the Series 65, Series 63, Series 66, Series 82TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2024 - February 11, 2025
CETERA INVESTMENT ADVISERS LLC
December 13, 2023 - February 11, 2025
CETERA INVESTMENT SERVICES LLC
November 22, 2019 - January 2, 2024
WEILD & CO.
November 15, 2016 - April 24, 2018
SANDHILL INVESTMENT MANAGEMENT
February 11, 2013 - October 13, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 12, 2012 - October 13, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 21, 2001 - September 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1996 - September 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - August 29, 1994
L.C. WEGARD & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
