DS
David J. Scafa
CETERA INVESTMENT ADVISERS LLC
PRINCETON JCT, NJ 08550
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CRD#: 3230582
DS
Professional summary
David J Scafa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Princeton Jct, New Jersey and CETERA WEALTH SERVICES, LLC located in Pennington, New Jersey.
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 4 firms and has passed the Series 63, SIE 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) Scafa Financial Services LLC~'NIR'~54 Route 31 N~Pennington~NJ~08534~Other~Other~5/1/2005~40hrs~40hrs~operational/marketing name only| 2) SCAFA PROFESSIONAL CENTER, LLC POSITION: Member NATURE: Rental Property Owner/Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2010 54 Route 31 N, Pennington NJ 08534, Joint owner/member of rental real estate 3) DAVID J. SCAFA, CPA, PFS POSITION: Accountant/Bookkeeper NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 90 START DATE: 01/01/1981; 54 Route 31 N - 1st Fl., Pennington NJ 08534, I am the owner of David J. Scafa, CPA, PFS. We provide accounting and tax preparation services to individuals and businesses. 4) MRK FINANCIAL SOLUTIONS POSITION: Advisor NATURE: Financial Services to clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 10 START DATE: 05/23/2023 ADDRESS: 3020 Harbor Lane North, Plymouth MN 55447, United States DESCRIPTION: Meet with clients to discuss their risk tolerance and financial needs and provide investment advice. 5) TRUPLAN FINANCIAL ADVISORS POSITION: Senior Wealth Advisor NATURE: Independent Financial Services Firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/31/2025 ADDRESS: 54 Route 31 N, 1st Fl, Pennington NJ 08534, United States DESCRIPTION: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view David J Scafa'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4 Huntington Dr., Princeton Jct, NJ 08550RIA
CRD#: 105644
PRINCETON JCT, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 54 Route 31 N 1st Floor, Pennington, NJ 08534BD
CRD#: 13572
Pennington, NJ
Past
October 28, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
PRINCETON JCT, NJ
Past
July 16, 1999 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Pennington, NJ
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
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
Exams
State Security Law 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Princeton Jct, NJ 08550TRUST BUT VERIFY
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