DB
David F. Bott
CETERA INVESTMENT ADVISERS LLC
OKLAHOMA CITY, OK 73123
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CRD#: 4085151
DB
Professional summary
David Frank Bott is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA WEALTH SERVICES, LLC located in Shawnee, Oklahoma.
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 66, SIE, Series 7, Series 62 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) David F. Bott, CPA/PFS PC~9212 N Rockwell, Suite 115, PO Box 721145~Oklahoma City~OK~73172~Tax Preparation/Accounting~President~12/10/2009~140hrs~140hrs~CPA including tax preparation and financial accounting 2) COCHRAN BELL LLC POSITION: STRAGETIC PARTNER NATURE: Combination of two Avantax representative firms to gain guidance on operations. Each firm maintains their own firm. Cochran Bell LLC is also an Avantax rep and I refer business for their guidance. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2020 ADDRESS: 9212 N. Rockwell, Ste 115, Oklahoma City OK 73132, United States DESCRIPTION: I manage my firm of David F. Bott, CPA and Cochran Bell manage their firm 3) MARY M. BOTT TRUST POSITION: Trustmanager NATURE: Trustmanager of the Mary M. Bott Trust dated January 24, 1996 INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 12/05/2022 ADDRESS: 9212 North Rockwell, Suite 115, Oklahoma City OK 73132, United States DESCRIPTION: Manage the activity of the Trust since my mother died December 5, 2022. 4) David Bott Farm (1); Owner and Landlord; The renting of 240 acres of farm real estate in Comanche County, Oklahoma; NIR; 2; 03/31/2024; 9212 N. Rockwell Oklahoma City OK 73132; Collect rent either on a sharecrop basis or cash rent of about $10,000 per year. Pay expenses incurred in the operation of the farm rent.
CRS (Client Relationship Summary) - RIA
Click below to view David Frank Bott'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: 9212 N. Rockwell Ste 117, Oklahoma City, OK 73123RIA
CRD#: 105644
OKLAHOMA CITY, OK
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1511 N Shawnee Ave, Shawnee, OK 74804Office #2: 9212 N. Rockwell Ste 115, Oklahoma City, OK 73132BD
CRD#: 13572
Shawnee, OK
Past
March 14, 2000 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
OKLAHOMA CITY, OK
Past
December 13, 1999 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Shawnee, OK
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
Oklahoma(9/5/2025)
IAR
Oklahoma(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/5/2000
Corporate Securities Limited Representative ExaminationGeneral 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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Check for any disclosures as part of your thorough research when choosing an advisor.
