DJ
David A. Jaffa
CETERA INVESTMENT ADVISERS LLC
FARMINGTON HILLS, MI 48334
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CRD#: 256796
DJ
Professional summary
David Allen Jaffa, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Farmington Hills, Michigan and CETERA WEALTH SERVICES, LLC located in Farmington Hills, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. David has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 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. OFFER FIXED INSURANCE: LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE.; 2. NAME OF OTHER BUSINESS: FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 3. NAME OF OTHER BUSINESS: AMERICAN TECHNION SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 6735 TELEGRAPH RD #304, BLOOMFIELD HILLS, MI 48301; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 09/01/2009; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER IN NAME ONLY. 4. NAME OF OTHER BUSINESS: DAVID A. JAFFA AND CO.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEPARATE ENTITY FOR FEES, COMMISSIONS AND EXPENSES; START DATE: 04/1989; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR FEES, COMMISSIONS AND EXPENSES; 5. NAME OF OTHER BUSINESS: SHERI & DAVID JAFFA FAMILY SUPPORT FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FOUNDATION; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TO MAKE GIFTS TO OTHER CHARITIES;
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Jaffa'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®
CFP®
Start date: 1981
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 30833 Northwestern Hwy Ste 125, Farmington Hills, MI 48334RIA
CRD#: 105644
FARMINGTON HILLS, MI
Current
May 23, 1989 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 30833 Northwestern Hwy Ste 125, Farmington Hills, MI 48334BD
CRD#: 13572
Farmington Hills, MI
Past
March 4, 2010 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FARMINGTON HILLS, MI
Past
August 29, 1978 - May 23, 1989
PENNSYLVANIA SECURITIES COMPANY
BD
CRD#: 7667
Past
April 28, 1970 - August 29, 1978
PENNSYLVANIA SECURITIES COMPANY
BD
CRD#: 6416
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(9/12/2011)
RR
Arizona(4/21/1992)
RR
Arkansas(2/2/2016)
RR
California(5/23/1989)
RR
Colorado(1/8/2001)
RR
Florida(5/23/1989)
RR
Georgia(7/13/2010)
RR
Illinois(2/15/2005)
RR
Indiana(6/18/2020)
RR
Iowa(6/17/2015)
RR
Kentucky(5/11/2006)
RR
Louisiana(6/1/2006)
RR
Maryland(6/11/2003)
RR
Massachusetts(3/12/2020)
RR
Michigan(5/23/1989)
IAR
Michigan(6/29/2023)
RR
Mississippi(3/20/2015)
RR
Missouri(2/18/2011)
RR
Nebraska(1/9/2009)
RR
Nevada(1/7/2014)
RR
New Jersey(6/15/2009)
RR
New Mexico(3/28/2007)
RR
New York(1/10/2006)
RR
North Carolina(1/13/2005)
RR
Ohio(1/4/2005)
RR
Pennsylvania(11/4/2022)
RR
South Carolina(7/22/2009)
RR
Tennessee(2/22/2010)
RR
Texas(3/9/2010)
IAR
Texas(6/29/2023)
RR
Utah(7/17/2020)
RR
Virginia(1/6/2006)
RR
Washington(5/6/2010)
RR
Wisconsin(1/11/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/16/1970
Registered Representative ExaminationPrincipal/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.
