DL
David R. Ligotti
CETERA INVESTMENT ADVISERS LLC
BAY HARBOR, MI 49770
Some features on this profile are disabled
CRD#: 4255269
DL
Professional summary
David Richard Ligotti, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bay Harbor, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in Bay Harbor, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the 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. NAME OF OTHER BUSINESS: DAVID LIGOTTI, CPA DBA OAKWOOD BUSINESS SERVICES LLC,
INVESTMENT RELATED: NO,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: ACCOUNTING & TAX,
START DATE: 1/1996,
APX NUMBER OF HOURS PER WEEK: 30,
APX NUMBER OF TRADING HOURS PER WEEK: 27,
POSITION/TITLE/RELATIONSHIP:100% OWNER,
BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, FINANCIAL STATEMENT PREPERATION, BOOK KEEPING, PAYROLL & TAX RETURN PREPERATION;
2. NAME OF OTHER BUSINESS: PURPLE ROSE THEATRE COMPANY;
INVESTMENT RELATED: NO;
ADDRESS: 137 PARK, CHELSEA, MI 48118;
NATURE OF BUSINESS: NON-PROFIT / THEATER;
START DATE: 09/2018;
POSITION/TITLE/RELATIONSHIP: TREASURER;
APX NUMBER OF HOURS PER WEEK: 1;
APX NUMBER OF HOURS DURING TRADING HOURS: 1;
BRIEF DESCRIPTION OF DUTIES: PREPARE AND PRESENT FINANCIAL STATEMENTS TO THE BOARD
3. NAME OF OTHER BUSINESS: LEUK'S LANDING;
INVESTMENT RELATED: NO;
ADDRESS: 6305 FORD ROAD, SUPERIOR TWP, MI 48198;
NATURE OF BUSINESS: NON-PROFIT / ANIMAL RESCUE;
START DATE: 2017;
POSITION/TITLE/RELATIONSHIP: TREASURER;
APX NUMBER OF HOURS PER WEEK: 1;
APX NUMBER OF HOURS DURING TRADING HOURS: 1;
BRIEF DESCRIPTION OF DUTIES: PREPARE AND PRESENT FINANCIAL STATEMENTS TO THE BOARD
CRS (Client Relationship Summary) - RIA
Click below to view David Richard Ligotti'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®
CFP®
Start date: 1987
Experience
Current
January 26, 2010 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5994 Coastal Cliff Court, Bay Harbor, MI 49770RIA
CRD#: 105644
BAY HARBOR, MI
Current
May 6, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
BAY HARBOR, MI
Past
August 29, 2000 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
Florida(5/6/2004)
RR
Illinois(1/2/2008)
RR
Michigan(5/6/2004)
IAR
Michigan(1/26/2010)
RR
Missouri(5/6/2004)
RR
Ohio(1/2/2020)
RR
Texas(4/28/2020)
IAR
Texas(4/28/2020)
Exams
State Security Law Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
