David T. Harding

CETERA INVESTMENT ADVISERS LLC

FRAMINGHAM, MA 01701

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CRD#: 2762385

Professional summary

David Todd Harding, who also goes by Daviv T Harding, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Framingham, Massachusetts and CETERA ADVISORS LLC located in Framingham, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daviv T Harding

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.

DBA NAME NORTHEAST INVESTMENT ADVISORS; 40 SPEEN ST. STE 204 FRAMINGHAM, MA 01701; INVESTMENT AND INSURANCE SALES; OBA: FIXED INSURANCE NORTHEAST INVESTMENT ADVISORS; 40 SPEEN ST. STE 204 FRAMINGHAM, MA 01701 OWNER, REP; TIME SPENT APPROX 1200 HRS PER MONTH; APPROX. 40 HRS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Todd Harding'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 40 Speen Street Suite 202, Framingham, MA 01701

RIA

CRD#: 105644

FRAMINGHAM, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 40 Speen Street Suite 202, Framingham, MA 01701

CRD#: 10299

Framingham, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

August 12, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

FRAMINGHAM, MA

Past

August 11, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

FRAMINGHAM, MA

Past

August 7, 2009 - August 28, 2009

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

FRAMINGHAM, MA

Past

August 5, 2009 - August 28, 2009

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

FRAMINGHAM, MA

Past

October 3, 2007 - August 19, 2009

B.B. GRAHAM & COMPANY, INC.

RIA

CRD#: 41533

FRAMINGHAM, MA

Past

September 7, 2007 - August 19, 2009

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

FRAMINGHAM, MA

Past

September 2, 2005 - September 12, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

RIA

CRD#: 104476

FRAMINGHAM, MA

Past

August 30, 2005 - September 12, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

CRD#: 104476

FRAMINGHAM, MA

Past

October 20, 2004 - August 26, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ROSLINDALE , MA

Past

October 20, 2004 - August 26, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 12, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

ROSLINDALE, MA

Past

September 1, 2000 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

March 21, 2000 - September 6, 2000

BANKBOSTON INVESTOR SERVICES, INC.

CRD#: 36369

BOSTON, MA

Past

March 17, 1997 - May 15, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, 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
(10/3/2016)

Florida
(10/4/2016)

Georgia
(10/3/2016)

Maine
(10/3/2016)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

New Hampshire
(10/3/2016)

Pennsylvania
(3/3/2025)

Rhode Island
(10/3/2016)

South Carolina
(1/25/2018)

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: 8/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1997

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: 7/17/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/14/1997

Investment Company Products/Variable Contracts 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
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 T. Harding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Todd Harding's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

B.B. GRAHAM & COMPANY, INC.

B.B. GRAHAM & COMPANY, INC.

FIRST MIDAMERICA INVESTMENT CORPORATION

FIRST MIDAMERICA INVESTMENT CORPORATION

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

BANKBOSTON INVESTOR SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/2002

Series 63

Date: 3/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2000

Series 6

Date: 3/14/1997

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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