DG
David G. Gay
CETERA INVESTMENT ADVISERS LLC
NEW HAVEN, CT 06513
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CRD#: 2517528
DG
Professional summary
David G Gay, who also goes by Dave G Gay, Dave Gordon Gay, David Gordon Gay, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Haven, Connecticut and CETERA WEALTH SERVICES, LLC located in New Haven, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave G Gay | Dave Gordon Gay | David Gordon Gay
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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2014; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 45; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, HELP CLIENTS WITH THEIR GOALS AND OBJECTIVES.
CRS (Client Relationship Summary) - RIA
Click below to view David G Gay'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: 470 James Street, New Haven, CT 06513RIA
CRD#: 105644
NEW HAVEN, CT
Current
February 15, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 470 James Street, New Haven, CT 06513BD
CRD#: 13572
New Haven, CT
Past
February 15, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
New Haven, CT
Past
August 15, 2013 - February 16, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW HAVEN, CT
Past
August 6, 2013 - February 16, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW HAVEN, CT
Past
March 23, 2006 - July 31, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GLASTONBURY, CT
Past
November 15, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SHELTON, CT
Past
November 15, 2005 - July 31, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GLASTONBURY, CT
Past
August 8, 1994 - November 14, 2005
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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(2/15/2023)
RR
Connecticut(2/15/2023)
IAR
Connecticut(6/29/2023)
RR
Florida(2/15/2023)
RR
Maine(2/15/2023)
RR
Massachusetts(2/15/2023)
RR
New Hampshire(2/15/2023)
RR
New York(2/15/2023)
RR
North Carolina(10/2/2024)
RR
Ohio(2/15/2023)
RR
Rhode Island(2/15/2023)
RR
South Carolina(7/29/2024)
RR
Texas(2/15/2023)
IAR
Texas(6/29/2023)
RR
Virginia(2/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644New Haven, CT 06513TRUST BUT VERIFY
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