David K. Tomita
Professional summary
David K Tomita, who also goes by David Ken-ichi Tomita, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kingsport, Tennessee and CETERA INVESTMENT SERVICES LLC located in Kingsport, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David K Tomita's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4105 Fort Henry Drive, Kingsport, TN 37663February 19, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 4105 Fort Henry Drive, Kingsport, TN 37663October 10, 2013 - February 27, 2017
FIRST HORIZON ADVISORS, INC.
September 20, 2010 - October 10, 2013
FTB ADVISORS, INC.
July 6, 2010 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
July 6, 2010 - February 27, 2017
FIRST HORIZON ADVISORS, INC.
January 31, 2006 - July 12, 2010
UBS FINANCIAL SERVICES INC.
November 25, 2005 - July 12, 2010
UBS FINANCIAL SERVICES INC.
January 19, 2005 - November 28, 2005
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2022)
(4/10/2019)
(3/3/2020)
(2/7/2022)
(4/30/2020)
(7/15/2024)
(2/6/2023)
(6/22/2023)
(2/19/2019)
(2/20/2019)
(11/20/2019)
(1/12/2023)
(2/19/2019)
(8/29/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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