DK
David R. Keefe
CETERA INVESTMENT ADVISERS LLC
Tucson, AZ 85718
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CRD#: 2749505
DK
Professional summary
David Raymond Keefe, who also goes by David R Keefe, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tucson, Arizona and CETERA WEALTH SERVICES, LLC located in Tucson, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 3, Series 24 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David R Keefe
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. NAME OF OTHER BUSINESS: BIG BEAR PROPERTIES INVESTMENT RELATED: YES ADDRESS: 2526 W RIM ROAD PINETOP, AZ NATURE OF BUSINESS: VACATION PROPERTY RENTAL START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: GENERAL MANAGER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE THE RENTAL OF A VACATION RENTAL PROPERTY. 2. NAME OF OTHER BUSINESS: DAVID KEEFE INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GROUP HEALTH INSURANCE START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MAINTAIN GROUP HEALTH INSURANCE CONTRACTS 3. NAME OF OTHER BUSINESS: DKGB FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2021 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: BRANCH MANAGER/SR. WEALTH MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: D KEEFE FA LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR EXPENSE MANAGEMENT; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX AND EXPENSE PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view David Raymond Keefe'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3573 E. Sunrise Drive Suite 133, Tucson, AZ 85718RIA
CRD#: 105644
Tucson, AZ
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3573 E. Sunrise Drive Suite 133, Tucson, AZ 85718BD
CRD#: 13572
Tucson, AZ
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 20, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
Tucson, AZ
Past
April 13, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
Tucson, AZ
Past
January 24, 2014 - June 17, 2016
NOVA FINANCIAL SERVICES
RIA
CRD#: 150148
TUCSON, AZ
Past
December 3, 2013 - April 12, 2016
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
TUCSON, AZ
Past
February 19, 2003 - December 17, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
TUCSON, AZ
Past
August 13, 2001 - January 17, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NORTHBROOK, IL
Past
June 25, 2001 - January 17, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 20, 2001 - June 14, 2001
DASH PRIME LLC
BD
CRD#: 41257
CHICAGO, IL
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
Arizona(4/20/2022)
IAR
Arizona(6/29/2023)
RR
California(4/20/2022)
RR
Connecticut(4/20/2022)
RR
Florida(4/21/2022)
RR
Georgia(9/5/2025)
RR
Idaho(4/20/2022)
RR
Illinois(4/20/2022)
RR
Kansas(6/2/2023)
RR
Michigan(4/20/2022)
RR
Missouri(3/22/2023)
RR
Nevada(4/20/2022)
RR
New Mexico(4/20/2022)
RR
Ohio(11/16/2022)
RR
Oklahoma(4/20/2022)
RR
Texas(4/20/2022)
IAR
Texas(6/29/2023)
RR
Utah(3/1/2024)
RR
Virginia(5/17/2022)
RR
Washington(4/20/2022)
Exams
State Security Law Exam
State Security Law 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
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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.
