DD
David F. Dodds
CETERA INVESTMENT ADVISERS LLC
Draper, UT 84020
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CRD#: 4502438
DD
Professional summary
David Franklin Dodds is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Draper, Utah and CETERA WEALTH SERVICES, LLC located in Sandy, Utah.
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 5 firms and has passed the Series 65, Series 63, SIE 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: 04/22/2013, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. HOBBS MANAGEMENT SERVICES, INC. DBA GOLD STONE LEASING, NOT INVESTMENT RELATED, 9500 S. 500 WEST SUITE 206, SANDY, UT 84070, EQUIPMENT LEASES, START 11/01/2013, 7HRS/WK (NON-TRADING HOURS), ASSIST WITH COLLECTING LEASE PAYMENTS; 3. NAME OF OTHER BUSINESS: DATA ENTERPRISES INC. DBA INTERMOUNTAIN PLAN ADMINISTRATORS INVESTMENT RELATED: YES ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/1999 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 POSITION/TITLE/RELATIONSHIP: EVP BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE AND FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: FINANCIAL NETWORK, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 25, APX NUMBER OF HOURS DURING TRADING HOURS: 25, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Franklin Dodds'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 38 W 13775 S Suite 300, Draper, UT 84020Office #2: 9500 S 500 W Ste 206, Sandy, UT 84070RIA
CRD#: 105644
Draper, UT
Current
June 21, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9500 S 500 W Ste 206, Sandy, UT 84070Office #2: 38 W 13775 S, Ste 300, Draper, UT 84020BD
CRD#: 13572
Sandy, UT
Past
July 11, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MURRAY, UT
Past
July 28, 2010 - July 11, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANDY, UT
Past
July 28, 2010 - July 11, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SANDY, UT
Past
April 28, 2003 - August 2, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SALT LAKE CITY, UT
Past
February 12, 2002 - November 5, 2003
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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(6/21/2013)
RR
Idaho(1/11/2018)
RR
Nevada(11/27/2017)
RR
Oregon(4/26/2023)
RR
Pennsylvania(6/28/2018)
RR
Utah(6/21/2013)
IAR
Utah(6/29/2023)
RR
Wyoming(5/4/2018)
Exams
State Security Law Exam
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
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.
