David S. Goodman

CETERA INVESTMENT ADVISERS

WESTBURY, NY 11590

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CRD#: 2684085

Professional summary

David Scott Goodman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westbury, New York and CETERA INVESTMENT SERVICES LLC located in Westbury, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Goodman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 11, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590

RIA

CRD#: 105644

WESTBURY, NY

Current

May 11, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590

CRD#: 15340

Westbury, NY

Past

June 14, 2021 - May 15, 2026

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

EAST HILLS, NY

Past

March 25, 2017 - May 15, 2026

MML INVESTORS SERVICES, LLC

CRD#: 10409

EAST HILLS, NY

Past

July 8, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

EAST HILLS, NY

Past

March 16, 2009 - June 28, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

BROOKLYN, NY

Past

March 16, 2009 - June 28, 2010

LPL FINANCIAL LLC

CRD#: 6413

BROOKLYN, NY

Past

November 19, 2007 - March 9, 2009

TD AMERITRADE, INC.

RIA

CRD#: 7870

GARDEN CITY, NY

Past

November 19, 2007 - March 9, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

GARDEN CITY, NY

Past

November 19, 2007 - March 9, 2009

TD AMERITRADE, INC.

CRD#: 7870

GARDEN CITY, NY

Past

September 8, 2005 - October 26, 2007

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

HAUPPAUGE, NY

Past

September 8, 2005 - October 26, 2007

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

HAUPPAUGE, NY

Past

August 6, 2004 - September 2, 2005

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

UNIONDALE, NY

Past

August 3, 2004 - September 2, 2005

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

April 23, 2004 - July 28, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

May 15, 2003 - May 5, 2004

IFMG SECURITIES, INC.

RIA

CRD#: 14416

WANTAUGH, NY

Past

April 30, 2003 - May 5, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 14, 2002 - April 15, 2003

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

GREAT NECK, NY

Past

August 24, 1998 - April 15, 2003

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

January 3, 1998 - May 1, 1998

THE CAMELOT GROUP, INC.

CRD#: 31091

FT LAUDERDALE, FL

Past

August 26, 1997 - February 25, 1998

DANALLEN INVESTMENT GROUP INC.

CRD#: 38968

ASTORIA, NY

Past

June 5, 1997 - August 27, 1997

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

December 18, 1996 - May 15, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

December 13, 1996 - December 23, 1996

CORTLANDT CAPITAL CORPORATION

CRD#: 25152

NEW YORK CITY, NY

Past

March 7, 1996 - December 16, 1996

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Connecticut
(5/11/2026)

IAR

Connecticut
(5/11/2026)

Florida
(5/11/2026)

Hawaii
(5/11/2026)

Massachusetts
(5/11/2026)

New Jersey
(5/11/2026)

New York
(5/11/2026)

IAR

New York
(5/11/2026)

Tennessee
(5/11/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

David S. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Goodman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

THE CAMELOT GROUP, INC.

DANALLEN INVESTMENT GROUP INC.

BILTMORE SECURITIES, INC.

H.J. MEYERS & CO., INC.

CORTLANDT CAPITAL CORPORATION

STRATTON OAKMONT INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/2000

Series 63

Date: 3/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/6/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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