DA
David B. Alexander
CETERA INVESTMENT ADVISERS LLC
HARVARD, MA 01451
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CRD#: 5264835
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Professional summary
David Brian Alexander, CFP®, who also goes by Dave Alexander, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Harvard, Massachusetts and CETERA WEALTH SERVICES, LLC located in Harvard, Massachusetts.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Alexander
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) ALEXANDER ADVISORS, LLC; POSITION: FINANCIAL ADVISOR NATURE: FINANCIAL SERVICES ENTITY INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 4 START DATE: 03/13/2013; Harvard MA: Financial Advisor 2) NORTH MIDDLESEX SAVING BANK; POSITION: null NATURE: BANKING INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2000; DESCRIPTION: Banking 3) DAVID B ALEXANDER, CPA; POSITION: OWNER/CPA NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/1987; DESCRIPTION: CPA firm 4) MAIN STREET BANK; POSITION: VICE CHAIR NATURE: BANKING INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/31/2000; MAIN STREET BANK, MARLBOROUGH MA 01752: BOARD OF DIRECTORS 5) MAINSAIL ADVISOR GROUP, LLC; POSITION: FINANCIAL ADVISOR NATURE: FINANCIAL PLANNING INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 45 START DATE: 10/03/2022; 284 Ayer Road, Harvard MA 01451; FINANCIAL PLANNING
CRS (Client Relationship Summary) - RIA
Click below to view David Brian Alexander'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®
CFP®
Start date: 2011
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 284 Ayer Road, Harvard, MA 01451RIA
CRD#: 105644
HARVARD, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 284 Ayer Road, Harvard, MA 01451BD
CRD#: 13572
HARVARD, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HARVARD, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HARVARD, MA
Past
July 16, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
HARVARD, MA
Past
February 9, 2007 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
HARVARD, MA
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
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
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
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Harvard, MA 01451TRUST BUT VERIFY
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