DA
David J. Anderson
CETERA INVESTMENT ADVISERS LLC
CICERO, NY 13039
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CRD#: 4481947
DA
Professional summary
David James Anderson, who also goes by David J Anderson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cicero, New York and CETERA FINANCIAL SPECIALISTS LLC located in Cicero, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David J Anderson
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)CPA-OWN AND OPERATE DAVID ANDERSON,CPA-OWNER CPA SINCE 1/2/88-OPERATE PUBLIC ACCTG FIRM-50HR/WK. 2)NAME OF OTHER BUSINESS: MEXICO ACADEMY AND CENTRAL SCHOOLS; INVESTMENT RELATED: NO; ADDRESS: 16 FRAVOR RD, MEXICO, NY 13114; NATURE OF BUSINESS: COMMITTEE MEMBER; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: AUDIT COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: 1 OF 3 AUDIT COMMITTEE MEMBERS APPOINTED BY LOCAL SCHOOL BOARD TO WORK WITH OUTSIDE CPA AUDITORS FOR LOCAL SCHOOL DISTRICT;
CRS (Client Relationship Summary) - RIA
Click below to view David James Anderson'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
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6091 State Rte 31, Cicero, NY 13039RIA
CRD#: 105644
CICERO, NY
Current
May 18, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 6091 State Rte 31, Cicero, NY 13039BD
CRD#: 10358
Cicero, NY
Past
September 26, 2002 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
Past
January 16, 2002 - August 6, 2002
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
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
Colorado(11/7/2023)
RR
Florida(5/18/2004)
RR
Louisiana(11/19/2015)
RR
Missouri(8/23/2022)
RR
Nevada(8/24/2005)
RR
New Jersey(12/12/2012)
RR
New York(5/18/2004)
IAR
New York(4/12/2021)
RR
North Carolina(2/2/2016)
RR
Oregon(11/7/2013)
RR
Pennsylvania(10/8/2009)
RR
South Carolina(2/9/2022)
RR
Tennessee(8/30/2023)
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)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#: 105644Cicero, NY 13039TRUST BUT VERIFY
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