DB
David A. Borden
CETERA INVESTMENT ADVISERS LLC
WESTBOROUGH, MA 01581
Some features on this profile are disabled
CRD#: 2790239
DB
Professional summary
David Aaron Borden is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westborough, Massachusetts and CETERA ADVISORS LLC located in Westborough, Massachusetts.
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 65, Series 63, SIE, Series 31 and Series 7 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.CCR WEALTH MANAGEMENT, SAME AS OFFICE ADDRESS, DBA FOR SECURITIES BUSINESS AND FIXED INSURANCE. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2000; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: LARRY S. ROSEN MEMORIAL FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CHARITABLE FOUNDATION; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PLANNING 2 EVENTS, A GOLF TOURNAMENT & DINNER, HELP GET SPONSORS & GOLFERS FOR EVENTS, & HELP RAISE MONEY FOR THE CHARITY; 4. NAME OF OTHER BUSINESS: TRUSTEE FOR CLIENTS TRUST ; INVESTMENT RELATED: YES; ADDRESS: 12798 ROUTE 19 SOUTH APT 14 WATERFORD, PA 16441 NATURE OF BUSINESS: TRUST; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SERVICING TRUST NEEDS AND REVIEW OF ACCOUNT STATEMENTS; 5. NAME OF OTHER BUSINESS: SUCCESSOR TRUSTEE FOR MULTIPLE CLIENT TRUSTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUSTS; START DATE: 2023; POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SERVICING TRUST NEEDS MULTIPLE CLIENT TRUSTS;
CRS (Client Relationship Summary) - RIA
Click below to view David Aaron Borden'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: 1800 West Park Drive Suite 150, Westborough, MA 01581RIA
CRD#: 105644
WESTBOROUGH, MA
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 1800 West Park Dr Ste 150, Westborough, MA 01581BD
CRD#: 10299
Westborough, MA
Past
January 20, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WESTBOROUGH, MA
Past
January 5, 2023 - November 8, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WESTBOROUGH, MA
Past
December 5, 2008 - January 10, 2013
CCR WEALTH MANAGEMENT, LLC
RIA
CRD#: 116442
WESTBOROUGH, MA
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BURLINGTON, MA
Past
March 18, 2001 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
WORCESTER, MA
Past
March 21, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
October 23, 1996 - April 30, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
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(9/10/2008)
RR
Alaska(12/4/2024)
RR
Arizona(1/2/2009)
RR
Arkansas(4/18/2023)
RR
California(1/1/2004)
RR
Colorado(1/5/2009)
RR
Connecticut(1/1/2004)
RR
Delaware(7/28/2021)
RR
District of Columbia(1/1/2004)
RR
Florida(1/1/2004)
RR
Georgia(4/11/2007)
RR
Hawaii(2/1/2021)
RR
Illinois(6/25/2014)
RR
Indiana(12/15/2023)
RR
Iowa(12/11/2020)
RR
Kansas(12/11/2020)
RR
Kentucky(2/23/2009)
RR
Louisiana(8/7/2023)
RR
Maine(1/1/2004)
RR
Maryland(1/1/2004)
RR
Massachusetts(1/1/2004)
IAR
Massachusetts(6/29/2023)
RR
Michigan(9/15/2020)
RR
Minnesota(8/24/2017)
RR
Missouri(12/19/2011)
RR
Montana(6/27/2023)
RR
Nevada(1/7/2014)
RR
New Hampshire(1/1/2004)
RR
New Jersey(4/10/2008)
RR
New Mexico(10/20/2017)
RR
New York(1/1/2004)
RR
North Carolina(4/25/2007)
RR
Ohio(1/7/2014)
RR
Oklahoma(12/4/2017)
RR
Oregon(4/14/2008)
RR
Pennsylvania(1/22/2008)
RR
Rhode Island(1/1/2004)
RR
South Carolina(7/31/2014)
RR
Tennessee(9/17/2018)
RR
Texas(1/2/2013)
IAR
Texas(6/29/2023)
RR
Utah(4/23/2019)
RR
Vermont(12/15/2010)
RR
Virginia(1/1/2004)
RR
Washington(1/25/2012)
RR
West Virginia(12/16/2021)
RR
Wisconsin(8/25/2025)
RR
Wyoming(8/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Westborough, MA 01581TRUST BUT VERIFY
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