DT
David A. Treece
CETERA INVESTMENT ADVISERS LLC
MIRAMAR, FL 33023
Some features on this profile are disabled
CRD#: 2611069
DT
Professional summary
David Allen Treece, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Miramar, Florida and CETERA ADVISORS LLC located in Miramar, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 52, Series 62, Series 22 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) NAME OF OTHER BUSINESS: TREECE FINANCIAL GROUP, INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: DBA FOR INSURANCE, START DATE: 8/2006, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: DETERMINE CUSTOMER NEEDS FOR THE SALE OF FIXED INSURANCE; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 1996, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; (3) NAME OF OTHER BUSINESS: MY BEST LIFE CLUB LLC ; INVESTMENT RELATED: NO ADDRESS: 10800 BISCAYNE BLVD, SUITE 725, MIAMI, FL 33161 NATURE OF BUSINESS: ONLINE COMMUNITY ; START DATE: 02/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4 ; BRIEF DESCRIPTION OF DUTIES: ONLINE COMMUNITIES FOR THE LGBTQ-ORIENTED BUSINESSES AND ORGANIZATIONS ; (4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; (5) NAME OF OTHER BUSINESS: THE SOLO AGER; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: FOUNDER, DIRECT RESOURCES, CONTENT DEVELOPMENT, SET PROGRAM PRIORITIES; (6) NAME OF OTHER BUSINESS: LA VIDA PRIDE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE SUPPORT, ADVOCACY FOR LGBTQ+ OLDER ADULTS, ONLINE AND IN-PERSON EDUCATIONAL EVENTS, COURSES, RESOURCES, FREE ONLINE MEMBERS-ONLY COMMUNITY; (7) NAME OF OTHER BUSINESS: AGING PAGES DIRECTORY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRAL DIRECTORY; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE MARKETING STAFF THAT DEVELOPS AND MAINTAINS WEBSITE; 8) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOOK SALES; START DATE: 10/2026; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AUTHOR OF A SERIES OF FINANCIAL PLANNING GUIDES;
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Treece'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®
Experience
Current
January 26, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7971 Riviera Blvd., Suite 331, Miramar, FL 33023Office #2: 10800 Biscayne Blvd, Ste 725, Miami, FL 33161RIA
CRD#: 105644
MIRAMAR, FL
Current
September 30, 2011 - Present
CETERA ADVISORS LLC
Office #1: 7971 Riviera Blvd., Suite 331, Miramar, FL 33023Office #2: 10800 Biscayne Blvd, Ste 725, Miami, FL 33161BD
CRD#: 10299
MIRAMAR, FL
Past
October 4, 2011 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
FORT LAUDERDALE, FL
Past
August 17, 2010 - October 27, 2011
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
MIAMI SHORES, FL
Past
July 14, 2010 - October 27, 2011
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
TAMPA, FL
Past
July 6, 2010 - July 15, 2010
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI SHORES, FL
Past
July 9, 2007 - July 2, 2010
TREECE ADVISORY GROUP, LLC
RIA
CRD#: 144416
MIAMI SHORES, FL
Past
January 8, 2007 - December 31, 2007
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
MIAMI SHORES, FL
Past
January 3, 2007 - July 8, 2010
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
MIAMI SHORES, FL
Past
February 23, 2006 - December 31, 2006
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
MIAMI SHORES, FL
Past
December 8, 2004 - December 31, 2006
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
MIAMI SHORES, FL
Past
May 21, 2002 - November 1, 2004
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ANN ARBOR, MI
Past
May 12, 1999 - May 20, 2002
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
March 26, 1996 - June 5, 1998
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
May 15, 1995 - March 6, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(3/16/2022)
RR
California(1/22/2020)
RR
District of Columbia(8/27/2021)
RR
Florida(9/30/2011)
IAR
Florida(1/26/2024)
RR
Georgia(7/24/2017)
RR
Kentucky(4/23/2025)
RR
Massachusetts(10/18/2012)
RR
Michigan(2/11/2021)
RR
New Jersey(9/30/2011)
RR
New York(9/30/2011)
RR
North Carolina(11/2/2020)
RR
Rhode Island(10/14/2025)
RR
South Carolina(6/21/2022)
RR
Texas(8/17/2016)
IAR
Texas(3/21/2024)
RR
Virginia(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/16/2010
Corporate Securities Limited 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 105644Miramar, FL 33023TRUST BUT VERIFY
Monitor David Treece
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
