David W. Gibbons

CETERA INVESTMENT ADVISERS LLC

PITTSFORD, NY 14534

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CRD#: 2727402

Professional summary

David Williams Gibbons is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pittsford, New York and CETERA INVESTMENT SERVICES LLC located in Pittsford, 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 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.DIRECTOR OF BUSINESS DEVELOPMENT FOR CANANDAIGUA NATIONAL BANK & TRUST, OVERSEE THE PROCESS FOR CLIENT GROWTH AND RETENTION FOR CNB WEALTH MANAGEMENT AND CANANDAIGUA NATIONAL BANK INSURANCE AGENCY, CNBIA (AGENCY SELLS ONLY PROPERTY AND CASUALTY INSURANCE) LEAD THE RETAIL NON-DEPOSIT INVESTMENT PROGRAM (WHICH INCLUDES CANADAIGUA INVESTMENT SERVICES), INCREASE VISIBILITY OF WEALTH MANAGEMENT SERVICES ACROSS THE BANK, LEADING SYNERGY INITIATIVES AND FOCUS ON RECRUITING & EMPLOYEE DEVELOPMENT 2. CHAIRMAN OF THE BOARD FOR CANDADAIGUA NATIONAL BANK INSURANCE AGENCY, PROPERTY & CASUALTY INSURANCE ONLY, FACILITATING AND COORDINATING CNBIA BOARD MEETINGS AND OVERSEEING OPERATIONAL AND SALES OF NON-CETERA INSURANCE PRODUCTS & SERVICES 3. BOARDMEMBER AT TENNIS CLUB OF ROCHESTER; HELPING WITH LONG TERM GOALS OF THE CLUB; 1 HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Williams Gibbons'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

December 7, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1150 Pittsford Victor Road Ste A, Pittsford, NY 14534

RIA

CRD#: 105644

PITTSFORD, NY

Current

December 6, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1150 Pittsford Victor Rd, Pittsford, NY 14534Office #2: 18 State Street, Pittsford, NY 14534Office #3: 1816 Penfield Road, Penfield, NY 14526Office #4: 61 West Main Street, Victor, NY 14564

CRD#: 15340

Pittsford, NY

Past

February 26, 2013 - December 8, 2017

M&T SECURITIES, INC.

RIA

CRD#: 17358

BATAVIA, NY

Past

October 19, 2012 - December 8, 2017

M&T SECURITIES, INC.

CRD#: 17358

BATAVIA, NY

Past

August 14, 2009 - July 31, 2012

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 23, 2006 - April 23, 2009

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 14, 2005 - February 28, 2006

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

December 15, 2003 - January 14, 2005

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

September 25, 2003 - January 10, 2005

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

September 9, 2002 - September 11, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

FOREST HILLS, NY

Past

March 11, 2002 - September 11, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

October 12, 1998 - January 24, 2002

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 9, 1996 - August 24, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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

Florida
(12/6/2017)

New York
(12/6/2017)

IAR

New York
(3/31/2021)

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: 2/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1996

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: 4/20/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/30/2014

Investment Company Products/Variable Contracts Principal 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
11/18/2022	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 W. Gibbons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Williams Gibbons's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

COREBRIDGE CAPITAL SERVICES, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

ALLIANCEBERNSTEIN L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

J.P. MORGAN SECURITIES LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2013

Series 63

Date: 7/9/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1998

Series 6

Date: 5/3/1996

Series 26

Date: 12/30/2014

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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