David A. Carter

CETERA INVESTMENT ADVISERS LLC

Surprise, AZ

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CRD#: 3168801

Professional summary

David Allen Carter is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Surprise, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 7 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.

Carter Wealth Management Not investment related Surprise, AZ DBA/Support Company Owner/Advisor start date: 04/2023 0 hrs per month 0 during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Carter'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 7373 N Scottsdale Rd Ste A250, Scottsdale, AZ 85253Office #3: 13128 W Foxfire Dr Ste 110, Surprise, AZ 85378

RIA

CRD#: 105644

Surprise, AZ

Current

April 20, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 7373 N Scottsdale Rd Ste A250, Scottsdale, AZ 85253Office #3: 13128 W Foxfire Dr Ste 110, Surprise, AZ 85378

CRD#: 13572

SCOTTSDALE, AZ

Past

April 21, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SURPRISE, AZ

Past

January 31, 2007 - March 2, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

SCOTTSDALE, AZ

Past

January 31, 2007 - April 20, 2022

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

November 3, 2005 - February 12, 2007

OSAIC SERVICES, INC.

RIA

CRD#: 133763

CENTENNIAL, CO

Past

October 31, 2005 - February 12, 2007

OSAIC SERVICES, INC.

CRD#: 133763

CENTENNIAL, CO

Past

September 30, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 3, 2003 - August 29, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BRIGHTON, CO

Past

June 3, 2003 - August 29, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 24, 1999 - June 3, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DENVER, CO

Past

February 22, 1999 - June 3, 2003

MORGAN STANLEY DW INC.

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".

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

Arizona
(4/20/2022)

IAR

Arizona
(6/29/2023)

Arkansas
(2/26/2024)

California
(4/20/2022)

Colorado
(4/20/2022)

Idaho
(4/20/2022)

Iowa
(4/20/2022)

Kansas
(4/20/2022)

Missouri
(4/20/2022)

Nebraska
(1/5/2024)

New Mexico
(4/20/2022)

North Dakota
(4/20/2022)

Oklahoma
(4/20/2022)

Texas
(4/20/2022)

IAR

Texas
(6/29/2023)

Washington
(1/5/2024)

Wyoming
(4/20/2022)

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: 3/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/10/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/19/1999

General Securities 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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Firm Stability Insights

David A. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/1999

Series 63

Date: 3/16/1999

SIE

Date: 10/1/2018

Series 31

Date: 3/10/1999

Series 7

Date: 2/19/1999

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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