DW
David P. Werts
CETERA INVESTMENT ADVISERS LLC
ALPHARETTA, GA
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CRD#: 2726915
DW
Professional summary
David Paul Werts, who also goes by David Werts, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Alpharetta, Georgia and CETERA WEALTH SERVICES, LLC located in Alpharetta, Georgia.
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 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Werts
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.
WELLA'S WAY; Non-Investment Related; Smyrna, GA; Other; Benefit Coordinator; Start Date 05/2021; 6 to 8 hours per month with 4 to 6 of those hours per month occurring during trading hours; Assist in the initial strategy/goals development of a financial wellness employment benefits concept which targets small businesses and individuals as a distributor. >> CONSULTANT; Non-Investment Related: Smyrna, GA; Other; Consultant; Start Date 01/2023; 4 hours, more or less, per month with none of those 4 hours occurring during trading hours; Provide consulting advice to a long-time colleague on brand objective/strategy and marketing related to their planned project to launch a high-end line of women's cosmetics into English speaking markets.
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Werts'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ALPHARETTA, GA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Alpharetta, GA
Past
February 16, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Alpharetta, GA
Past
November 21, 2005 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Alpharetta, GA
Past
May 30, 2002 - November 15, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 12, 2002 - May 29, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
April 15, 1996 - April 12, 2002
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
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
IAR
Georgia(2/20/2025)
RR
Kentucky(2/20/2025)
RR
New Hampshire(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Oregon(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
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.
