DS
David Y. Shugol
CETERA INVESTMENT ADVISERS LLC
Myakka City, FL
Some features on this profile are disabled
CRD#: 2656139
DS
Professional summary
David Yale Shugol is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Myakka City, Florida and CETERA WEALTH SERVICES, LLC located in Lakewood Ranch, 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 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 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) KIWANIS CLUB OF BRADENTON FLORIDA POSITION: Director NATURE: Kiwanis serves needy children in order that they have the best opportunity to grow up and become productive citizens. Director position to advise the club in non-financial matters. They have a separate board for that. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2022 ADDRESS: 502 3rd Ave W, Bradenton FL 34205, United States DESCRIPTION: I will be advising the club in non-financial matters. I will receive no compensation nor will I be be handling funds. 2) KEEPSAKE FIREARMS APPRAISAL SERVICE POSITION: Owner NATURE: Firearms appraisal for estate, insurance, divorce, bankruptcy etc. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2017 ADDRESS: 7020 253rd St E, Suite 119, Myakka City, FL 34251 DESCRIPTION: Certified firearms appraisals. Meet with clients and appraise their firearms and prepare reports. This is the total. 3) KEEPSAKE WEALTH STRATEGIES, LLC POSITION: Manager NATURE: Dba for marketing purposes of my practice at Aksala Weath Advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 11/14/2013 ADDRESS: 8225 Natures Way, Unit 119, Lakewood Ranch, FL 34202 DESCRIPTION: Dba for marketing purposes of my practice at Aksala Weath Advisors. 4) AKSALA WEALTH ADVISORS POSITION: Financial Planner NATURE: Financial Planning, account management, investment recommendations to achieve plan goals. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 09/17/2021 ADDRESS: 8225 Natures Way, Unit 119, Lakewood Ranch, FL 34202 DESCRIPTION: Client account management, Financial planning, investment selection, risk management and goal tracking.
CRS (Client Relationship Summary) - RIA
Click below to view David Yale Shugol'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
August 8, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 6260 Lake Osprey Dr, Lakewood Ranch, FL 34240RIA
CRD#: 105644
Myakka City, FL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6260 Lake Osprey Dr, Lakewood Ranch, FL 34240BD
CRD#: 13572
Lakewood Ranch, FL
Past
September 24, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Myakka City, FL
Past
September 22, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lakewood Ranch, FL
Past
July 17, 2013 - October 6, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LAKEWOOD RANCH, FL
Past
July 5, 2013 - October 6, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LAKEWOOD RANCH, FL
Past
October 5, 2009 - July 18, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SARASOTA, FL
Past
October 5, 2009 - July 18, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SARASOTA, FL
Past
February 12, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
BRADENTON, FL
Past
January 30, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
BRADENTON, FL
Past
April 2, 2007 - February 2, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BRADENTON, FL
Past
April 2, 2007 - February 2, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BRADENTON, FL
Past
August 3, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BRADENTON, FL
Past
August 1, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BRADENTON, FL
Past
October 30, 1995 - June 7, 2000
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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
Arkansas(9/5/2025)
RR
California(9/5/2025)
IAR
Florida(8/8/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Massachusetts(9/18/2025)
RR
Michigan(9/5/2025)
RR
Nevada(9/5/2025)
RR
Ohio(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
