DD
Dustin S. Deal
CETERA INVESTMENT ADVISERS LLC
TAYLORSVILLE, NC 28681
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CRD#: 4580451
DD
Professional summary
Dustin Shane Deal, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Taylorsville, North Carolina and CETERA WEALTH SERVICES, LLC located in Hickory, North Carolina.
Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dustin has worked at 4 firms and has passed the Series 66, SIE and Series 7 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 ENTITY: Independent Insurance Agent; Yes; 200 1ST AVE NW STE 302; HICKORY; NC; 28601; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/24/2004; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF ENTITY:BENEFIT SOLUTIONS; No; 577 NC 16 SOUTH; TAYLORSVILLE; NC; 28681; GROUP INSURANCE PRODUCTS; INDEPENDENT INSURANCE AGENT; 7/8/2004; 20; 20; SELL GROUP INSURANCE PRODUCTS 3. NAME OF ENTITY:Deal Financial Group, Inc; Yes; 577 NC Highway 16 S; Taylorsville; NC; 28681; FINANCIAL SERVICES/DBA; Owner; 8/1/2008; 40; 5; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS. 4. NAME OF OTHER BUSINESS: HUTTON ESTATE HOMEOWNERS ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: 2010 STARTOWN RD, HICKORY, NC 28602, NATURE OF BUSINESS: HOA, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: LEAD BOARD MEETINGS. WORK WITH THE PROPERTY MANAGER AND HOA ATTORNEY TO ADDRESS THE NEEDS OF THE NEIGHBORHOOD;
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Shane Deal'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 577 Nc 16 South, Taylorsville, NC 28681Office #2: 200 1st Ave Nw Ste 302, Hickory, NC 28601RIA
CRD#: 105644
TAYLORSVILLE, NC
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 1st Ave Nw Ste 302, Hickory, NC 28601Office #2: 577 Nc 16 South, Taylorsville, NC 28681BD
CRD#: 13572
HICKORY, NC
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 23, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
HICKORY, NC
Past
August 23, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
HICKORY, NC
Past
October 31, 2002 - August 20, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HICKORY, NC
Past
October 11, 2002 - August 20, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(6/9/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Louisiana(6/9/2021)
RR
Michigan(5/18/2023)
RR
Mississippi(9/1/2021)
RR
North Carolina(6/9/2021)
IAR
North Carolina(6/29/2023)
RR
Oregon(1/7/2025)
RR
Pennsylvania(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(2/26/2025)
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
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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#: 105644Taylorsville, NC 28681TRUST BUT VERIFY
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