Shanth K. David
Professional summary
Shanth K David, who also goes by Shanth K David, Shanth Kumar David, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.
Shanth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shanth has worked at 17 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 4, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shanth K David's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019August 22, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 22, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 3200 Olympus Blvd Suite 100, Dallas, TX 75019August 22, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 22, 2024 - Present
CETERA ADVISORS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 10, 2015 - October 25, 2019
1ST GLOBAL ADVISORS INC
June 10, 2015 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
December 1, 2014 - June 11, 2015
PROSPERA FINANCIAL SERVICES, INC.
December 1, 2014 - June 11, 2015
PROSPERA FINANCIAL SERVICES, INC.
January 8, 2014 - December 1, 2014
WFG ADVISORS, LP
January 8, 2014 - December 1, 2014
WFG INVESTMENTS, INC.
November 27, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2008 - November 5, 2012
1ST GLOBAL ADVISORS INC
March 2, 2004 - November 5, 2012
1ST GLOBAL CAPITAL CORP.
October 7, 2003 - March 1, 2004
FSC SECURITIES CORPORATION
February 20, 2003 - June 4, 2003
1ST GLOBAL CAPITAL CORP.
February 4, 2002 - January 28, 2003
PFS INVESTMENTS INC.
July 17, 2001 - August 13, 2001
SOUTHTRUST SECURITIES, LLC
October 26, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
(9/5/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
