DW
David J. Willett
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
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CRD#: 4835765
DW
Professional summary
David John Lee Willett, who also goes by David Willett, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Willett
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: 09/2014 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES 2. NAME OF OTHER BUSINESS: ST JOHN'S LUTHERAN SCHOOL ENDOWMENT FUND INVESTMENT RELATED: NO ADDRESS: 154 S SHAFFER ST ORANGE, CA 92866 NATURE OF BUSINESS: EDUCATION START DATE: 09/2016 POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: I SERVE ON THE COMMITTE FOR THE SCHOOL ENDOWMENT FUND. I AM NOT INVOLVED IT THE MANAGEMENT OF THE INVESTMENTS. 3. NAME OF OTHER BUSINESS: DAVID WILLETT FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MANAGE BUSINESS / PROVIDE FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: WILLETT WEALTH PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE:02/2024; POSITION/TITLE/RELATIONSHIP: OWNER/ FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David John Lee Willett'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: 1390 Willow Pass Rd Ste 900, Concord, CA 94520RIA
CRD#: 105644
CONCORD, CA
Current
May 13, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 541 E Chapman Ave #a1, Orange, CA 92866BD
CRD#: 13572
Concord, CA
Past
May 13, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 29, 2017 - April 11, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
November 29, 2017 - June 21, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
December 1, 2015 - May 13, 2021
TRILOGY CAPITAL, INC.
RIA
CRD#: 281597
Irvine, CA
Past
January 17, 2007 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
IRVINE, CA
Past
August 16, 2004 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
IRVINE, 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
Arizona(5/13/2021)
RR
California(5/13/2021)
IAR
California(6/29/2023)
RR
Colorado(5/13/2021)
RR
Florida(11/24/2023)
RR
Georgia(5/13/2021)
RR
Idaho(6/15/2022)
RR
Illinois(10/29/2025)
RR
Indiana(5/13/2021)
RR
Nevada(5/13/2021)
RR
New York(5/13/2021)
RR
Ohio(5/13/2021)
RR
Oregon(5/13/2021)
RR
South Carolina(5/13/2021)
RR
Tennessee(6/2/2021)
RR
Texas(5/13/2021)
IAR
Texas(6/29/2023)
RR
Utah(5/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
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