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TD

Timothy B. Davis

CRD#: 4784538
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TD
Timothy Byron Davis

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Timothy Byron Davis was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 2025 - June 30, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
HONOLULU, HI
Past

June 19, 2025 - June 30, 2026

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
HONOLULU, HI
Past

May 28, 2024 - April 28, 2025

IMA WEALTH

RIA
CRD#: 112091
SALT LAKE CITY, UT
Past

February 27, 2018 - August 14, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
Sandy, UT
Past

February 26, 2018 - August 14, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

January 20, 2015 - January 20, 2017

HARRISDIRECT LLC

RIA
CRD#: 42159
SANDY, UT
Past

January 16, 2015 - January 20, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

March 4, 2010 - August 20, 2014

MORGAN STANLEY

RIA
CRD#: 149777
SOUTH JORDAN, UT
Past

March 2, 2010 - August 20, 2014

MORGAN STANLEY

BD
CRD#: 149777
SOUTH JORDAN, UT
Past

June 1, 2009 - January 19, 2010

MORGAN STANLEY

RIA
CRD#: 149777
HONOLULU, HI
Past

June 1, 2009 - January 19, 2010

MORGAN STANLEY

BD
CRD#: 149777
HONOLULU, HI
Past

December 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HONOLULU, HI
Past

December 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HONOLULU, HI
Past

August 23, 2007 - December 18, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
HONOLULU, HI
Past

August 23, 2007 - December 18, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
HONOLULU, HI
Past

November 20, 2006 - July 3, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SALT LAKE CITY, UT
Past

August 11, 2006 - July 3, 2007

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SALT LAKE CITY, UT
Past

June 11, 2004 - November 20, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/17/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/16/2009
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/17/2009
General Securities Sales Supervisor - Options Module Examination

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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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