DW
David B. Wald
CETERA INVESTMENT ADVISERS LLC
MANDAN, ND 58554
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CRD#: 4346185
DW
Professional summary
David Brian Wald is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mandan, North Dakota and CETERA WEALTH SERVICES, LLC located in Bismarck, North Dakota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.
BISMARCK CANCER CENTER FOUNDATION BOARD POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2016 ADDRESS: , Bismarck ND , United States DESCRIPTION: Advisory Board EASTER SEALS/ GOODWILL OF NORTH DAKOTA POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: , Mandan ND , United States DESCRIPTION: Member SAND FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: , Bismarck ND , United States DESCRIPTION: Agent/Broker SUNNY SIDE UP PROPERTIES POSITION: Partner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 3406 CLAIRMONT RD, BISMARCK ND 58503, United States DESCRIPTION: Rental property LUX WEALTH ADVISORS POSITION: Owner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 45 START DATE: 05/01/2023 ADDRESS: 4431 MEMORIAL HWY, MANDAN ND 58554, United States DESCRIPTION: Due to the Cetera transition I have to change the firm name from Securian Financial Advisors of ND to Lux Wealth Advisors.
CRS (Client Relationship Summary) - RIA
Click below to view David Brian Wald'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4431 Memorial Hwy, Mandan, ND 58554Office #2: 510 7th Street Nw, Steele, ND 58482Office #3: 30 Main Street E Suite #2, Mayville, ND 58257RIA
CRD#: 105644
MANDAN, ND
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 418 E Rosser Ave Suite 202, Bismarck, ND 58501Office #2: 4431 Memorial Hwy, Mandan, ND 58554Office #3: 30 Main Street E Suite #2, Mayville, ND 58257BD
CRD#: 13572
BISMARCK, ND
Past
August 25, 2008 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MANDAN, ND
Past
August 6, 2008 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MANDAN, ND
Past
April 9, 2002 - August 5, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BISMARK, ND
Past
February 15, 2001 - August 5, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BISMARK, ND
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
Alabama(5/27/2025)
RR
Arizona(8/10/2023)
RR
Arkansas(9/12/2024)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Idaho(10/16/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maryland(5/24/2024)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Mississippi(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nebraska(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Mexico(8/10/2023)
RR
North Carolina(3/6/2024)
RR
North Dakota(8/10/2023)
IAR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mandan, ND 58554TRUST BUT VERIFY
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