David P. Werts
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Paul Werts, who also goes by David Werts, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2025 - December 31, 2025
CETERA INVESTMENT ADVISERS LLC
February 20, 2025 - December 31, 2025
CETERA WEALTH SERVICES, LLC
February 16, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 21, 2005 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 30, 2002 - November 15, 2005
USALLIANZ SECURITIES, INC.
April 12, 2002 - May 29, 2002
WORLD GROUP SECURITIES, INC.
April 15, 1996 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
