David M. Walther

CETERA INVESTMENT ADVISERS LLC

ST LOUIS, MO 63123

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CRD#: 2989320

Professional summary

David Mark Walther is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in St Louis, Missouri.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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)PURK & ASSOCIATES, PC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, CPA FIRM, TAX SERVICES, CPA, 40H/WEEK, SINCE 10/2010 2)PURK ADVISORS LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INVESTMENT/WEALTH MANAGEMENT SERVICES, FINANCIAL ADVISOR, 160H/MONTH, SINCE 10/2010. 3)BETA THETA ST LOUIS ALUMNI CLUB, NOT INVESTMENT RELATED, ST LOUIS, MO, PRESIDENT, ALUMNI/FRATERNITY CLUB, SINCE 10/2010, 2H/WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mark Walther'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

August 7, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1034 S Brentwood Blvd Ste 2000, St Louis, MO 63123

RIA

CRD#: 105644

ST LOUIS, MO

Current

August 7, 2020 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1034 S Brentwood Blvd Ste 2000, St Louis, MO 63117

CRD#: 10358

St Louis, MO

Past

October 25, 2019 - August 13, 2020

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

IRVING, TX

Past

October 25, 2019 - August 13, 2020

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SAINT LOUIS, MO

Past

March 26, 2008 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

ST. LOUIS, MO

Past

January 8, 2008 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SAINT LOUIS, MO

Past

November 2, 2006 - January 11, 2008

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

SAINT LOUIS, MO

Past

January 27, 2004 - December 31, 2010

SUMMIT ADVISORY SERVICES, LLC

RIA

CRD#: 125937

ST. LOUIS, MO

Past

September 13, 2001 - October 25, 2006

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

ST. LOUIS, MO

Past

March 5, 2001 - January 11, 2008

WALNUT STREET SECURITIES, INC.

CRD#: 15840

SAINT LOUIS, MO

Past

February 13, 1998 - March 5, 2001

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, 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".

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
(8/7/2020)

Georgia
(9/30/2020)

Missouri
(8/7/2020)

IAR

Missouri
(8/7/2020)

South Carolina
(8/7/2020)

Utah
(8/7/2020)

Wisconsin
(8/7/2020)

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 66

Date: 8/3/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/17/1998

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: 7/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/12/1998

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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David M. Walther

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mark Walther's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

WALNUT STREET SECURITIES, INC.

SUMMIT ADVISORY SERVICES, LLC

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2001

Series 63

Date: 2/17/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/30/1999

Series 6

Date: 2/12/1998

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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