David N. Brown
Professional summary
David Norman Brown, who also goes by David Norman Brown, David Brown, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mooresville, Indiana and CETERA INVESTMENT SERVICES LLC located in Indianapolis, Indiana.
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 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Norman Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Hadley Rd, Mooresville, IN 46158June 1, 2020 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5151 East 82nd Street, Indianapolis, IN 46250Office #2: 1000 Hadley Rd, Mooresville, IN 46158August 15, 2019 - June 12, 2020
PRUCO SECURITIES, LLC.
August 15, 2019 - June 12, 2020
PRUCO SECURITIES, LLC.
January 5, 2015 - February 25, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 23, 2014 - February 25, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 26, 2013 - June 25, 2014
ONEAMERICA SECURITIES, INC.
March 26, 2013 - June 25, 2014
ONEAMERICA SECURITIES, INC.
February 3, 2009 - March 4, 2013
MML INVESTORS SERVICES, LLC
January 23, 2009 - March 4, 2013
MML INVESTORS SERVICES, LLC
April 12, 2006 - February 9, 2009
MSI FINANCIAL SERVICES, INC.
November 7, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 7, 2003 - February 9, 2009
MSI FINANCIAL SERVICES, INC.
August 10, 2001 - December 9, 2003
W&S BROKERAGE SERVICES, 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
(2/1/2023)
(10/13/2021)
(6/1/2020)
(6/1/2020)
(9/17/2021)
(3/4/2024)
(1/26/2023)
(1/30/2023)
Exams
FINRA
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
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