DB
David L. Beiswanger
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45241
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CRD#: 4446451
DB
Professional summary
David Lloyd Beiswanger, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA WEALTH SERVICES, LLC located in Cincinnati, Ohio.
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 7 firms and has passed the Series 65, 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: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 6/2016
APX NUMBER OF HOURS PER WEEK: 4
APX NUMBER OF HOURS DURING TRADING HOURS: 4
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
2. NAME OF OTHER BUSINESS: CENTER STAGE FINANCIAL
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: FINANCIAL SERVICES,
START DATE: 02/2020
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5,
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view David Lloyd Beiswanger'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: 2006
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11427 Reed Hartman Hwy Ste 202, Cincinnati, OH 45241RIA
CRD#: 105644
CINCINNATI, OH
Current
July 15, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11427 Reed Hartman Hwy Ste 202, Cincinnati, OH 45241BD
CRD#: 13572
Cincinnati, OH
Past
July 15, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CINCINNATI, OH
Past
January 30, 2015 - July 22, 2016
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
September 12, 2014 - July 22, 2016
STONEX SECURITIES INC.
BD
CRD#: 18456
CINCINNATI, OH
Past
February 24, 2005 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
CINCINNATTI, OH
Past
February 24, 2005 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
CINCINNATTI, OH
Past
July 20, 2004 - March 4, 2005
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
CINCINNATI, OH
Past
June 23, 2003 - March 4, 2005
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
November 28, 2001 - June 20, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Arizona(5/16/2017)
RR
Florida(9/13/2023)
RR
Georgia(4/29/2022)
RR
Indiana(7/15/2016)
RR
Kentucky(7/15/2016)
RR
Massachusetts(4/7/2020)
RR
Michigan(1/8/2019)
RR
New York(8/12/2020)
RR
Ohio(7/15/2016)
IAR
Ohio(6/29/2023)
RR
Texas(2/20/2025)
IAR
Texas(2/20/2025)
Exams
State Security Law Exam
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
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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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cincinnati, OH 45241TRUST BUT VERIFY
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