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DR

David W. Rabke

Some features on this profile are disabled
CRD#: 5248961
DR

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.

David Wesley Rabke JR, who also goes by David Wesley Rabke, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2007. David had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Wesley Rabke

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; SAME AS REGISTERED LOCATION; Fixed Insurance Sales; Independent Insurance Agent; 12/13/2019; 160; 160; SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF ENTITY:HIMELICK FINANCIAL GROUP; Yes; 7200 N. Mopac Expressway; AUSTIN; TX; 78731; FINANCIAL SERVICES/DBA; CLIENT SERVICE MANAGER; 12/18/2019; 160; 20; ASSIST CLIENTS WITH FINANCIAL PLANNING ACTIVITIES; 3. NAME OF OTHER BUSINESS: AVIARA HOA BOARD; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0-2; APX NUMBER OF HOURS DURING TRADING HOURS: 0-2; BRIEF DESCRIPTION OF DUTIES: HELP OUT WHERE NEEDED;

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

June 29, 2023 - November 3, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
AUSTIN, TX
Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
AUSTIN, TX
Past

June 9, 2021 - November 3, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
AUSTIN, TX
Past

February 1, 2021 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
AUSTIN, TX
Past

December 13, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
AUSTIN, TX
Past

July 16, 2015 - August 15, 2018

NYLIFE SECURITIES LLC

BD
CRD#: 5167
AUSTIN, TX
Past

March 19, 2007 - May 19, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
AUSTIN, TX

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
IAR
Series 65
Date: 11/16/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/6/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/16/2007
Investment Company Products/Variable Contracts Representative 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
11/18/2022
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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