DD
David R. Davis
CETERA INVESTMENT ADVISERS
Campbell, CA 95008
Some features on this profile are disabled
CRD#: 4461678
DD
David Richard DavisCETERA INVESTMENT ADVISERS
Professional summary
David Richard Davis is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Campbell, California and CETERA WEALTH SERVICES, LLC located in Campbell, California.
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 6 firms and has passed the Series 66, SIE and Series 7 exams.
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) The C.B Trust; Non-investment related; Trustee 2) The L. Irrevocable Trust; Non-investment related; Trustee 3) The R & C.B Trust; Non-investment related; Trustee 4) JY WEALTHCARE LLC; MANAGING MEMBER; FINANCIAL SERVICES; Invest related; 40hrs; 40 hrs during trading; started 01/01/2002; San Jose CA 95113; Provide financial services to clients. 5)NAME OF OTHER BUSINESS: JOHANSON & YAU ACCOUNTANCY CORP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING SERVICES; START DATE: 10/1980; POSITION/TITLE/RELATIONSHIP: PRINCIPAL; APX NUMBER OF HOURS PER WEEK: 24; APX NUMBER OF HOURS DURING TRADING HOURS: 24; BRIEF DESCRIPTION OF DUTIES: TAX AND ACCOUNTING SERVICES; 6) THE R.B. TRUST; TRUSTEE NATURE: TRUST; Not invest related; 1hr; 1 hr during trading; Started 01/01/1999; Trustee 7) THE CHRISTINE BEBB TRUST POSITION: TRUSTEE NATURE: TRUST - Irrevocable Life Insurance Trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/20/2001 ADDRESS: 42 W Campbell Avenue, Third Floor, Campbell CA 95008, DESCRIPTION: Oversee annual payment of Insurance premiums.Review annual insurance premium billings. 8) 42 W CAMPBELL JY, LLC POSITION: Managing Member NATURE: Rental Real Estate. We bought the building, in February of 2021, where our CPA firm and JY WealthCare LLC is housed. There are three other tenants in the building as well. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/28/2021 ADDRESS: 42 West Campbell Ave, Third Floor, Campbell CA 95008, United States DESCRIPTION: Oversee an external property manager. The property manager collects all rent including the rent of Johanson & Yau Accountancy Corp and the three tenants. I prepare and file the tax returns for this new entity. 9) JOSEPH GEORGE DISTRIBUTOR POSITION: CPA Board Member NATURE: The organization has two businesses. It is a commercial landlord. It rents business property to a commercial tenant on a long term lease. It also operates a boutique retail wine store in San Jose. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1559 Meridian Ave, San Jose CA 95125, United States DESCRIPTION: Act as external CPA as related to tax planning and preparation. Attend annual board meeting in my role as CPA. Go over prior year financial statements and answer questions regarding the financials. My role as board member is that I act as CPA in these meetings? 10) NAME OF OTHER BUSINESS: BKR INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 60 EAST 42ND STREET SUITE 4600 NEW YORK, NY 10165; NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: CHAIR THE BOARD, WORK WITH CEO, REGIONAL DIRECTORS AND WORLDWIDE BOARD TO OVERSEE DELIVERY OF SERVICES, CONFERENCES AND OTHER EDUCATIONAL OPPORTUNITIES;
CRS (Client Relationship Summary) - RIA
Click below to view David Richard Davis'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
July 22, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 42 West Campbell Ave Third Floor, Campbell, CA 95008RIA
CRD#: 105644
Campbell, CA
Current
July 22, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 42 West Campbell Ave Third Floor, Campbell, CA 95008BD
CRD#: 13572
CAMPBELL, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CAMPBELL, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CAMPBELL, CA
Past
March 8, 2002 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SAN JOSE, CA
Past
December 11, 2001 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAN JOSE, CA
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
California(7/22/2025)
IAR
California(7/22/2025)
RR
Colorado(7/22/2025)
RR
Hawaii(9/18/2025)
RR
Maine(7/22/2025)
RR
Nevada(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(7/23/2025)
RR
Oregon(9/5/2025)
RR
South Dakota(7/29/2025)
RR
Texas(7/29/2025)
IAR
Texas(7/29/2025)
RR
Washington(7/29/2025)
Exams
State Security Law 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)Loading...
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 |
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.
